1. business and industrial
2. business operations
3. human resources

Human Resources Procedures Manual
Human Resources Procedures Manual
Contents
1
2
RECRUITMENT AND APPOINTMENT ............................................................................................... 4
1.1
Recruitment ........................................................................................................................ 4
1.2
Selection ............................................................................................................................. 7
1.3
Appointment ...................................................................................................................... 7
1.4
Determining Engagement as an Independent Contractor or Employee ............................ 8
1.5
Criminal Record Checks .................................................................................................... 10
1.6
Working with Children Checks ......................................................................................... 12
1.7
Conferral of titles for people associated with the University .......................................... 15
1.8
Induction .......................................................................................................................... 17
CONDITIONS AND BENEFITS.......................................................................................................... 18
2.1
Probation .......................................................................................................................... 18
2.2
Hours of Work .................................................................................................................. 19
2.3
Leave Entitlements ........................................................................................................... 24
2.4
Leave Management .......................................................................................................... 36
2.5
Public Holidays ................................................................................................................. 38
2.6
Industrial Action ............................................................................................................... 40
2.7
Absence on official business............................................................................................. 40
2.8
Academic staff additional work ........................................................................................ 41
2.9
Higher Duties Allowance – General Staff ......................................................................... 43
2.10
Private Vehicle Use ........................................................................................................... 43
2.11
Secondments .................................................................................................................... 44
2.12
Staff Consultancy .............................................................................................................. 45
2.13
Staff Overpayment and Debt Recovery ............................................................................ 49
2.14
Termination of Employment on Grounds of Ill Health – Academic Staff ......................... 50
2.15
Redeployment, Retraining and Redundancy .................................................................... 50
2.16
Resignation and retirement ............................................................................................. 54
2.17
Working from Home (WFH).............................................................................................. 55
2.18
Process for Requesting Flexible Working Arrangements ................................................. 57
3
4
5
POSITIONS, PROGRESSION, PERFORMANCE ................................................................................. 58
3.1
Position Classification Standards – General Staff............................................................. 58
3.2
Reclassification – General Staff ........................................................................................ 72
3.3
Incremental Progression .................................................................................................. 74
3.4
Academic Promotions Principles and Procedures............................................................ 75
3.5
Salary adjustments due to classification and increment changes ................................... 81
3.6
Rewarding high performing staff ..................................................................................... 81
3.7
Unsatisfactory Work Performance/Conduct .................................................................... 84
STAFF GRIEVANCE ......................................................................................................................... 89
4.1
Definitions ........................................................................................................................ 89
4.2
Informal resolution process ............................................................................................. 89
4.3
Formal Resolution Process ............................................................................................... 91
4.4
Complaints to the Ombudsman ....................................................................................... 93
4.5
Potential outcomes of grievance resolution .................................................................... 93
4.6
Protection Against Victimisation ...................................................................................... 94
4.7
Vexatious Grievances ....................................................................................................... 94
SENSITIVE ISSUES .......................................................................................................................... 94
1
RECRUITMENT AND APPOINTMENT
1.1
Recruitment
Appointments can be made by whichever defined approach is most appropriate to the role and
candidates sought. Appointments are made according to merit, based on relative ability, knowledge,
skills and organisational fit.
The appointment process should be equitable, fair and based on pertinent legislative requirements
and University policies.
Confidentiality of applications must be maintained at all times.
Potential applicants shall be given every opportunity to be fully informed about the position and the
Swinburne environment. A position description, containing information such as duties, mandatory and
desirable qualifications and selection criteria must be prepared.
The University aims to select appropriate recruitment mechanisms available to approach the best
possible field of suitably qualified candidates.
When an appointment of 12 months or more is intended, the position will normally be advertised.
Notwithstanding this, in order to secure the best possible candidates for positions, the University may
fill position vacancies or new positions without advertising.
Swinburne University commits to eliminate from its structures and practices any source of direct or
indirect discrimination on the basis of sex, marital status, pregnancy, parenthood, race (including
colour, nationality or ethnic origin), age, sexual preference, disability, religious beliefs or political
conviction.
The University reserves the right not to make an appointment.
1.1.1
Sessional Academic Staff
Sessional Academic Staff are employed in accordance with the terms and conditions of the
Swinburne University of Technology Academic & General Staff Enterprise Agreement 2009 (“the
Agreement”).
1.1.2
Casual VE Teaching Appointments
Casual VE Teachers are employed in accordance with the Victorian TAFE Teaching Staff MultiBusiness Agreement 2009 (“the MBA”).
Casual VE Teachers may be employed for a maximum of 720 hours per annum to perform duties
outlined in the C3 Application for Casual VE Teaching Engagement.
1.1.3
Engagement of Agency Staff
Casual administrative and support staff are to be engaged from preferred providers contracted by the
University to provide the University’s casual general staffing needs. Before engaging agencies
outside of the University’s preferred suppliers, hiring managers must notify the Recruitment and
Promotions team.
Note these procedures are subject to ongoing review. If you have printed this document, this July 2014 version may not be current.
Please notify a member of the HR Assist team if the online manual requires updating.
4
Casual administrative and support staff may be engaged in the following circumstances:
(a)
(b)
(c)
(d)
(e)
1.1.4
The management unit is experiencing peak work demands; and/or
Unusual absences of existing staff; and/or
Short term work; and/or
Awaiting the filling of vacant positions; and/or
It is not possible or reasonable for existing staff to perform such work.
Engagement of Trainees
Trainees are employed in accordance with the terms and conditions outlined in Schedule 1 of the
Agreement.
Employment of a trainee cannot commence until the training agreement has been registered.
A full-time trainee shall be engaged for a maximum duration of one (1) year provided that a trainee
shall be subject to completion of a satisfactory probation period of up to one month.
The University and the trainee may vary the duration of the traineeship as per the conditions outlined
in Schedule1 of the Agreement.
1.1.5
Recruitment of Senior Appointments
Senior appointments where the starting salary is equal to or in excess of Higher Education Worker
level 10 for General staff, Academic Level E or VE Director, may be sourced by engaging a
recruitment agency.
Senior positions must be recorded on the eRecruitment system to enable the University to capture
applicant data for these roles.
Service agreements with recruitment agencies must include a requirement for the recruiter to, where
possible, provide a diverse pool of candidates.
Hiring managers should notify the Recruitment & Promotions team prior to engaging a recruitment
agency outside of the University’s preferred suppliers to ensure that appropriate terms and conditions
are negotiated prior to engagement.
1.1.6
Advertising
Positions that must be advertised internally or externally are:
(a) an initial appointment to a position on an on-going basis;
(b) an initial appointment to a position on a fixed term contract, twelve months or more; and
(c) a new contract where the total combined period from the commencement of employment to
the proposed employment end date will be twelve months or more.
Positions that do not have to be advertised are:
(a) an initial appointment of less than twelve months;
(b) a subsequent appointment on a fixed term contract of the occupant of a position where the
person was initially appointed through an open and competitive selection process;
(c) a new contract where the total period from the commencement of employment to the
employment end date is less than twelve months;
(d) Sessional Academic or Sessional VE Teaching positions; and
(e) VE Teaching Positions which are 12 months in duration up to a maximum of two appointment
periods.
Note these procedures are subject to ongoing review. If you have printed this document, this July 2014 version may not be current.
Please notify a member of the HR Assist team if the online manual requires updating.
5
Hiring managers should ensure that a current position description for the role is available. Position
descriptions should be appropriately classified and meet with School/Faculty/Department staffing
requirements as appropriate. Note: all newly created positions must be classified within 12 months.
1.1.7
Request to Recruit
Hiring managers are required to complete a Request to Advertise A1 form and attach the position
description. (http://www.swinburne.edu.au/corporate/hr/docs/A1.pdf)
The Request to Advertise A1 form and associated position description must be authorised by two
levels of authority as per signatories outlined on the form.
Note: Positions up to and including HEW 6 should be advertised internally in the first instance.
Authority to waive these requirements rests with the Director, Human Resources or nominee. Note:
the approved waiver will need to accompany A1 form and relevant paperwork. All paperwork should
be forwarded to the Recruitment and Promotions team ([email protected]) for
processing.
1.1.8
Advertise Online – Swinburne Web Page
All available positions to be filled must be advertised online on the Swinburne Recruitment web page
located on the Human Resources web site.
Where requested, for senior appointments, Recruitment and Promotions will, in consultation with the
hiring manager, engage a recruitment agency to source potential candidates.
Advertising of positions may be waived under the following circumstances:
The Director of Human Resources or nominee:
(a) may approve methods other than advertising to recruit for positions; and
(b) may waive the need to advertise a position where the occupant has been employed on a fixed
term contract for at least three years within the same role. The occupant may be offered ongoing employment without advertising the position, subject to:
(i) the person having originally been appointed to the position through following
participation in an a competitive recruitment process, and
(ii) the person wishes to be considered for the position, and
(iii) the person meets the mandatory selection criteria, and
(iv) there is a record of satisfactory performance in the position, and
(v) the University has an ongoing need for the position.
The Director, Human Resources or nominee may request a memorandum stating the reason for the
request to waive the need to advertise, signed by the Manager.
For VE Teaching positions, the relevant Director of Learning/CEO Swinburne College may waive the
requirement under this policy to advertise, where a subsequent 12 month contract is to be offered to
the Teacher and they were not initially appointed through an open and competitive process, up to a
maximum of two appointment periods. The relevant Executive Director/CEO Swinburne College may
waive the requirement under this policy to advertise a VE Teaching position if it is for an initial fixed
term appointment greater than 12 months and up to three years up to a maximum of two appointment
periods.
Note these procedures are subject to ongoing review. If you have printed this document, this July 2014 version may not be current.
Please notify a member of the HR Assist team if the online manual requires updating.
6
1.2
Selection
Selection Committees are responsible for the selection process up to the point of making a
recommendation for appointment.
The selection committee will normally include:
(a)
(b)
(c)
(d)
the Manager (or nominee) as Chair;
one other person from the Management Unit concerned;
one person from another Management Unit
male and female gender representation (all endeavours must be made to ensure this
wherever possible).
Optionally:
(a) a further person with broad knowledge of the subject field, who may be from within or external
to Swinburne, may be added;
(b) for positions up to and including the level of Higher Education Worker 4, or other
classifications of equivalent salary level, a smaller committee comprising the Head of
Management Unit (or nominee) and one other person from the Management Unit may be
employed.
Any person required to participate in a selection committee must declare if they might have a conflict
of interest, real or perceived, in the matter and, if so, withdraw from participating in the process.
Note: sessional appointments may involve informal selection processes, however to ensure best
practice recruitment, it is advisable to ensure an appropriate selection process is followed. For further
guidance, please contact the Recruitment and Promotions Team”
The Chair of a Selection Committee will ensure the proper observation of the University’s recruitment
and appointment procedures, and other related legislative requirements as per the Selection Checklist
(R1) (http://www.swinburne.edu.au/corporate/hr/erecruitment/R1.pdf). The Chair of a Selection
Committee will progress the successful candidate to the Appointment stage of the process.
1.3
Appointment
For initial appointments to a position (whether of an external applicant or an appointment of an
internal applicant to a different position), the hiring manager must complete a Request to Appoint A2
form online (http://www.swinburne.edu.au/corporate/hr/docs/A2.docx) and attach the following
documentation, if not already provided [email protected]:
(a)
(b)
(c)
(d)
(e)
(f)
Certified copies of all relevant qualifications;
Working with Children Check (where applicable);
Criminal record check (where applicable);
A photocopy of either a valid passport or birth certificate;
Citizenship certificate or visa (where applicable);
Any other relevant documentation
Please note: Working with Children Checks and criminal record checks may not have been completed
or provided by the candidate at this stage in the process. However, it is the hiring manager’s
responsibility to ensure that this documentation is collected and submitted to HR Assist. The Request
to Appoint A2 form must be authorised in accordance with Delegation of Expenditure Authority Policy
Human Resources will prepare a letter of offer, outlining the terms and conditions of employment
which will be sent to the successful candidate applicant.
Note these procedures are subject to ongoing review. If you have printed this document, this July 2014 version may not be current.
Please notify a member of the HR Assist team if the online manual requires updating.
7
The candidate must sign the letter of offer accepting the terms and conditions of employment and
return the original, unamended, to HR Assist prior to their commencement date.
A Manager should not allow new employees to commence work until they have signed their letter of
offer as they will not be covered by any of Swinburne’s policies.
The Chair of the Selection Committee should ensure that all recruitment information, including all
notes taken during interviews, copies of correspondence with applicants, and any other
documentation relating to the selection process and applicants is returned to the Recruitment and
Promotions team in Human Resources.
1.3.1
Application for Sessional Academic Engagement
When engaging a Sessional Academic, the C2 Application for Sessional Academic Engagement form
should be completed and signed by the successful candidate. The form should also be signed by two
levels of authority.
The form should then be forwarded to HR Assist along with the relevant employment paperwork as
detailed on the C2 form.
The Sessional Academic should complete the appropriate induction modules as per the C2
Application for Sessional Engagement form.
1.3.2
Application for casual VE teaching engagement
When engaging a casual VE Teacher the C3 Application for Casual VE Teaching Engagement form
should be completed and signed by the successful candidate. The form should also be signed by two
levels of authority.
The form should then be forwarded to HR Assist along with the relevant employment paperwork as
detailed on the C3 form.
The casual VE Teacher should complete the appropriate induction modules as per the C3 Application
for Sessional Engagement form.
1.4
Determining Engagement as an Independent Contractor or
Employee
To ensure compliance with Swinburne University’s industrial agreements, internal policies,
procedures and State or Territory industrial law as amended from time to time, it is the policy of
Swinburne University that all individuals are engaged appropriately.
1.4.1
Definitions
Teaching & Learning services - Work which represents the core and standard business of the
University e.g. teaching (irrespective of method), the assessment and grading of students’ academic
performance and other related academic responsibilities.
•
•
•
Employee - Any person who has been offered and has accepted a contract of Service (letter
of offer) with the University.
Independent contractor - A person or entity, who or which enters in to a contract for services
either personally, or through its personnel, to achieve prescribed objectives or ends, and for a
sum of money agreed prior to the work being undertaken. An independent contractor bears
full professional and financial liability for the satisfactory completion of the contract.
Service provider - Individual or organisation providing a service to the University.
Note these procedures are subject to ongoing review. If you have printed this document, this July 2014 version may not be current.
Please notify a member of the HR Assist team if the online manual requires updating.
8
•
•
•
Sham contracting arrangement - The dismissal of employees with the sole or dominant
purpose to engage the individual as an independent contractor to perform the same work, or
substantially the same work, under a contract for services.
One-off Teaching and Learning services - Teaching and Learning services provided to the
University that are of an ad-hoc nature, not regularly scheduled and not continuing.
Occasional lectures - Lectures provided to the University that are of an ad-hoc nature, not
regularly scheduled and not continuing.
The Independent Contractors Act 2006 places requirements on Employers to justly enter into
contracts for service. The employer must ensure that a contract for service is not entered into unjustly
or designed to avoid the provisions of current industrial relations agreements, instruments, laws and
systems.
There are significant risks for an organisation in incorrectly treating a worker as an independent
contractor when they should be engaged as an employee. The risks include:
(a) Breach of industrial agreements such as awards, agreement or other instruments made under
a law and the imposition of penalties for non-compliance;
(b) Exposure to unfair dismissal claims;
(c) Breaches of taxation legislation (e.g. legislation relating to PAYG or payroll tax obligations)
and the imposition of penalties for non-compliance;
(d) Exposure to superannuation guarantee charges;
(e) Liability for leave entitlements;
(f) Loss of Employer of Choice status;
(g) Damage to reputation; and
(h) Exposure to penalties for engaging in “Sham contracting arrangements”.
Where an individual is engaged inappropriately the organisational unit will meet the full costs of the
penalties, as well as any legal costs incurred by the University.
The engagement of an independent contractor may occur in (but is not limited to) the following
circumstances:
(a) the provision of specialist professional services for projects (e.g. engineers, architects,
quantity surveyors);
(b) the conduct of projects for which tenders or requests for proposals are called, and the
independent contractor’s tender or proposal is selected on the basis of the published
selection criteria;
(c) the delivery by a specialist professional of occasional lectures or other forms of occasional
formal contact with students enrolled in a course leading to an academic award; and
(d) the provision of specific one-off Teaching & Learning services such as marking where the
individual is not already a staff member of the University.
Current industrial relations law and systems prohibits the dismissal of employees with the sole or
dominant purpose to engage the individual as an independent contractor to perform the same work,
or substantially the same work, under a contract for services.
Note these procedures are subject to ongoing review. If you have printed this document, this July 2014 version may not be current.
Please notify a member of the HR Assist team if the online manual requires updating.
9
1.4.2
Procedure
Prior to engaging the services of an individual, refer to the Federal Government Contractor Decision
tool to determine if the individual should be engaged as an employee or an independent contractor. If
unsure, contact HR Assist for more assistance.
If it is determined that the individual is to be employed then the appointment should be made in
accordance with the Appointments procedure.
If it is determined that the individual is to be engaged as an Independent Contractor, a Services to
Swinburne Agreement and Schedule should be completed along with a Document Execution Form
See also Guidelines for Legal Documents before drafting the Document Execution Form and Services
to Swinburne Agreement.
The head of the management unit or delegate should take a copy of the Document Execution Form
and the Services Agreement before forwarding it onto the appropriate parties for approval.
Once the appropriate authorisations have been obtained, the Independent Contractor may sign the
Service to Swinburne Agreement.
The Vice Chancellor, DVC, PVC, VP or Head of the Management Unit should then sign the Service to
Swinburne Agreement on behalf of Swinburne University to execute the Agreement.
1.5
Criminal Record Checks
Staff who have financial responsibilities are required to undergo or to have undergone a criminal
record check and provide the University with a National Police Certificate as a condition of
employment.
1.5.1
New Employees
Relevant new employees will be required to attach a certified copy of the National Police Check to the
new starter paperwork. Those who do not have a current National Police Check will have a
contractual requirement to provide one within 30 days of the commencement date.
1.5.2
Existing Employees, Contractors and Volunteers
Relevant ongoing, fixed term and casual staff engaged in positions identified in the scope of this
procedure will be required to provide a Consent to Check and Release National Police Record once
for the period of employment with the University.
1.5.3
Notification of a Disclosable Record
Should Human Resources receive a National Police Check detailing a disclosable criminal record; the
employee will be notified.
1.5.4
Review of engagement following a Disclosable Record
The employee may choose to provide the Director of Human Resources the following information
within ten working days of receiving notification of a Disclosable Record;
(a) a notice of intention to submit an appeal to the Victoria Police in accordance with the Police
Records Information Release Policy;
(b) evidence as to their character since the offence[s] was committed; or
(c) a transcript of the court proceedings including sentencing proceedings relating to the criminal
record and any other information relevant to the circumstances of the offence.
Note these procedures are subject to ongoing review. If you have printed this document, this July 2014 version may not be current.
Please notify a member of the HR Assist team if the online manual requires updating.
10
The Director of Human Resources, after considering the offence, character and reputation of the
individual, will make a recommendation to the Vice Chancellor or Deputy Vice Chancellor with regards
to the engagement.
In making a determination, the Deputy Vice Chancellor or nominee will consider the offence history
within an overall assessment of an employee’s or appointee’s good character and reputation, having
regard to:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
the nature of the offence[s];
the relevance of the offence[s] to the position;
the length of time since the offence[s] took place;
whether there is an extended history of criminal offence[s] or accumulation of individual minor
offences that indicates a persistent pattern of behaviour;
Any mitigating or extenuating circumstances that might be revealed in relation to the
offence[s] committed. e.g. provocation, effect of alcohol etc., which may or may not be
favourable to the applicant;
whether the offence[s] was committed as a juvenile or an adult;
the general character displayed since the offence[s] was committed e.g. the record of
employment and favourable reports by past employers or the employees manager;
whether the offence[s] has been subsequently decriminalised; and
the penalty or sentence imposed.
A disclosable criminal record will not necessarily preclude employment of an appointee or result in
any action being taken in relation to an employee.
1.5.5
Possible outcomes
After reviewing a disclosable outcome the University may take action which could include, but is not
limited to, the following:
(a)
(b)
(c)
(d)
(e)
(f)
1.5.6
modification of the work processes or duties associated with finance; or
re-design the position or work required; or
cessation of the work; or
redeployment; or
suspension with or without pay; or
evoke the University Unsatisfactory Work Performance procedure / Code of Conduct
Offences that may preclude employment
Whilst all offence[s] will be assessed in regard to the considerations detailed in clause 1.5.5 of this
procedure, offences that may be considered unacceptable and therefore may preclude employment
include:
(a)
(b)
(c)
(d)
sexual offences,
offences of which a necessary element is violence, e.g. grievous bodily harm, robbery;
drug trafficking and other related offences; or
offences involving personal financial gain committed where the person was in a position of
responsibility.
Note these procedures are subject to ongoing review. If you have printed this document, this July 2014 version may not be current.
Please notify a member of the HR Assist team if the online manual requires updating.
11
The Deputy Vice Chancellor or nominee will consider the recommendation of the Director of Human
Resources and determine:
(a) for an employee, whether the relevant University Unsatisfactory Work Performance procedure
/ Code of Conduct policy will be applied, or the employee be allocated other duties where
there is not the potential to undermine the University’s duty of care; or
(b) for an appointee, whether an offer of employment is to be made.
The employee or appointee will be informed of the decision by the Director of Human Resources.
1.6
Working with Children Checks
To enable the University to meet its legislative requirements and to minimise risk to the University
community, any individual identified in roles outlined in Schedule A will be required to provide the
University with a valid WWCC. A National Criminal Records Check (Police Check) may also be
required of certain staff.
To ensure compliance with the Working with Children Act 2005, it is the policy of Swinburne
University of Technology that as outlined in Schedule A, all relevant existing, new and prospective
employees, contractors and volunteers who:
(a) are likely to be engaged in child related-work activities which usually involve, or are likely to
involve, regular direct contact with a child or children undertaking VCE or VCAL;
(b) certain other specified activities; and
(c) where that contact is not directly supervised
are required to undergo or to have undergone a WWCC as prescribed by the Working With Children
Act 2005 and provide the University with the Assessment Notice and a certified copy of the card.
Automatic exemptions under the Act are outlined in Schedule B.
Under the Working With Children Act 2005, it is the responsibility of employees to obtain an
Assessment Notice and Working with Children Card prior to engaging in child related work.
Where it is deemed that a new or prospective employee, contractor or volunteer will be required to
have a WWCC, they will be required to provide evidence of their application/receipt number or their
Assessment Notice and/or Working with Children Card as part of the Key Selection Criteria prior to
commencing employment.
Contractors will be required to provide evidence of their application/receipt number or their
Assessment Notice and/or Working with Children Card prior to engaging in child related activities.
WWCCs for volunteers are free of charge. An Assessment Notice and WWCC given to a volunteer
cannot be used by an employee or contractor.
Any employee (excluding sessional staff) required to obtain a WWCC in order to perform their role will
be entitled to reimbursement of the WWCC application/renewal cost. Reimbursements will be
processed online via SPO (see Swinburne Working With Children website for reimbursement details).
Unless express consent is given otherwise, the University will only use information it receives under
this procedure from relevant employees, contractors or volunteers for the purpose of carrying out its
obligations under the Act;
Note these procedures are subject to ongoing review. If you have printed this document, this July 2014 version may not be current.
Please notify a member of the HR Assist team if the online manual requires updating.
12
1.6.1
Existing Employees, Contractors and Volunteers
(a) Relevant employees, contractors and volunteers currently engaged in child related work must
provide evidence of one of the following:
(i) their application/receipt number;
(ii) assessment Notice;
(iii) Working with Children Card; or
(iv) evidence that they are exempt.
(b) An employee, contractor or volunteer who receives an Interim Negative Notice will have the
right of appeal to Victorian Civil Administrative Tribunal (VCAT) as legislated in the Working
With Children Act 2005. In this case the University will have discretion to take necessary
steps during the appeal process to ensure compliance with the legislation which may include
but not be limited to:
(i) modification of the work processes or duties associated with the child related work; or
(ii) re-design the position or work required; or
(iii) cessation of the work; or
(iv) redeployment; or
(v) suspension with or without pay
(c) Employees, contractors and volunteers in receipt of an Interim Negative Notice or Negative
Notice must immediately notify the Director of Human Resources in writing and will
automatically be precluded from engaging in further child related work.
Should and Interim Negative Notice not result in a Negative Notice, the employee, contractor or
volunteer may be reinstated to their normal position/duties which they held or were performing
prior to receiving the Interim Negative Notice.
Any individual who is in receipt of a Negative Notice that chooses to exercise their right of appeal
to VCAT must inform the Director Human Resources in writing of their intention to appeal to
VCAT.
Existing employees, contractors and volunteers who do not pass the WWCC will not be eligible to
undertake child related work. In this instance the University may at its discretion take any of the
following actions against an existing employee, contractor or volunteer:
(a)
(b)
(c)
(d)
(e)
(f)
1.6.2
modification of the work processes or duties associated with the child related work; or
re-design the position or work required; or
cessation of the work; or
redeployment; or
suspension with or without pay
take action which may result in terminating the employment or engagement
Working with Children Check renewals - employees
It is the responsibility of relevant employees to renew their WWCCs every five years.
Human Resources will monitor WWCC expiry dates and inform staff and department heads four
months prior to expiry of the check. Unless exempt, employees will then need to arrange for the
completion of another WWCC.
Existing employees who do not provide a new WWCC or evidence of exemption will not be eligible to
undertake child related work for the University. In this instance the University may at its discretion
take any of the actions against an existing employee as outlined in this procedure.
Note these procedures are subject to ongoing review. If you have printed this document, this July 2014 version may not be current.
Please notify a member of the HR Assist team if the online manual requires updating.
13
1.6.3
Working with Children Check renewals – volunteers and contractors
It is the responsibility of relevant contractors and volunteers to renew their WWCCs.
The relevant manager will monitor WWCC expiry dates and inform volunteers and contractors four
months prior to expiry of the check.
Unless exempt, volunteers and contractors will then need to arrange for the completion of another
WWCC.
Existing volunteers and contractors who do not provide a new WWCC or evidence of exemption will
not be eligible to undertake child related work for the University. In this instance the University may at
its discretion take any of the actions against an existing volunteer or contractor as outlined in this
procedure.
1.6.4
Schedules
1.6.4.1.1
Schedule A:
Roles identified in the list below may be required to obtain and maintain a valid WWCC. This list is
not exhaustive, staff should refer to the Swinburne Working with Children webpage or Human
Resources for further advice.
•
•
•
•
•
•
•
•
•
•
•
1.6.4.2
VE Division Employees
Academic staff who regularly teach first year students
Employees involved in overnight camps
Student Counsellors
Health Services Employees
Manager Housing and Finance
Careers and Employment Consultants (TAFE)
Undergraduate Recruitment Officers
Marketing Coordinators
Any other employees involved with VCE/VCAL programs
Any other employees who are in regular, direct, unsupervised contact with first year students.
Schedule B:
An automatic exemption applies if a staff member, contractor or volunteer is:
•
•
•
•
•
•
under the age of 18;
a parent who volunteers in the activity in which their own child ordinarily participates*;
a sworn police officer who is not suspended from duty;
a teacher who has current registration with the Victorian Institute of Teaching;
closely related to each child they have contact with at work*;
18 or 19 years of age, a student at an educational Institution (such as a school or Institute of
TAFE) and working as a volunteer either at their educational institution or outside their
educational institution under an arrangement made by that institution (this does not include
practical training)*.
*If the individual also undertakes additional type of ‘child related’ work then they may be required to
obtain a WWCC for that other work.
Note these procedures are subject to ongoing review. If you have printed this document, this July 2014 version may not be current.
Please notify a member of the HR Assist team if the online manual requires updating.
14
1.7
Conferral of titles for people associated with the University
An affiliate appointed in accordance with this process must forgo their conferred title if they are
appointed on a fixed term contract or in an ongoing employment position.
Subject to the directions of the Vice-Chancellor acting under delegation from the Council, in any
specific case, an affiliate shall hold office on the terms and conditions determined by the ViceChancellor.
An affiliate shall not be a member of the Academic Board or its committees.
A nomination for conferment of the title of Adjunct, Visiting or Associate will be made on the A8
“Request for Conferral of Adjunct, Visiting or Associate Title” form by an Executive Dean of a Faculty
(“the Nominator”).
The Nominator will submit the completed form to the Deputy Vice-Chancellor (Academic) or the
Deputy Vice-Chancellor (Research).
If it is determined that the nominee will be undertaking regular and systematic teaching/lecturing
(other than guest lectures) then the nominee would be deemed to be a Swinburne employee
(excluding sessional academics) and is to be appointed in accordance with the Appointments
procedure and relevant visa regulations.
The Deputy Vice-Chancellor (Academic) or the Deputy Vice-Chancellor (Research) receives and
considers nominations and in so doing shall consider the nominee’s qualifications and experience.
The Deputy Vice-Chancellor (Academic) or the Deputy Vice-Chancellor (Research) may seek further
and supporting information about the nominee from the Nominator or from other persons.
If a nomination is not approved by the Deputy Vice-Chancellor (Academic) or Deputy Vice-Chancellor
(Research), the Nominator will be advised accordingly, and in turn will advise the nominee.
If the nomination is approved the Deputy Vice-Chancellor (Academic) or the Deputy Vice-Chancellor
(Research):
(a) confirms the conditions of invitation; and
(b) authorises the A8 “Request for Conferral Adjunct, Visiting or Associate Title” form; and
(c) forwards the nomination to the Vice-Chancellor.
If the nomination is not approved, the Nominator will be advised accordingly.
If the conferral of the title is approved by the Vice-Chancellor, the Nominator advises the:
•
•
Deputy Vice-Chancellor (Academic) or Deputy Vice-Chancellor (Research) (as appropriate);
and
Dean of the Faculty to whom the Nominee will be associated;
and forwards the approved Request for Conferral of “Adjunct, Visiting or Associate Title” form to HR
Assist.
HR Assist issue an invitation letter to the nominee, including the “Living Away From Home
Declaration” form (if applicable).
The nominee will then accept or reject the invitation and HR Assist will advise the Faculty Business
Manager of the Faculty to whom the nominee will be associated of the outcome.
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Please notify a member of the HR Assist team if the online manual requires updating.
15
HR Assist will assist the nominee with any visas that may be required. Nominee to forward to HR a
copy of confirmation of visa prior to attending the University Campus.
Prior to, or, on arrival of the nominee at the University, arrange for:
•
•
•
•
•
•
•
Appropriate office space to be provided at the discretion of the Faculty;
Access to appropriate buildings at the discretion of the Faculty;
Visitor/Library card to be issued (by arranging for a Visitor ID Card Form to be authorised by
HR Assist);
Access to the University’s email and appropriate networks to be provided;
Completion of Living Allowance form (if applicable);
Reimbursement of any expenses that form part of the invitation;
Ensure participation in relevant training (Equity, OH&S).
Occupancy reports are generated and forwarded to Faculty Business Manager.
Prior to the expiry of the visiting period, the nomination and approval process is required to be
undertaken by the nominator with the nominee informed if the University’s intends to extend the visit.
On expiry of the invitation, or on departure from the University (whichever is earlier), Faculty Business
Manager arranges for:
•
•
•
•
•
Return of keys or building access cards;
Automatic removal of access to the University email and networks;
Return of Visitor/library card to Human Resources;
Final payment of any expenses due;
Advice to Human Resources that the Nominee has left the University via the P14 – “Visitor
Clearance” Form.
HR Assist update records of Adjunct, Visiting and Associate titles, to record that Nominee has
departed from The University.
1.7.1
Sarawak Academic Affiliate
The Vice-Chancellor deems academic staff (whether employed full time or part time) at Swinburne
University of Technology Sarawak Campus to be affiliates of Swinburne University of Technology and
therefore to be conferred the title Swinburne Research Affiliate, without recourse to individual
nomination
A person who is conferred with a title under this clause shall hold that title from the start date of
employment as an academic at Swinburne University of Technology Sarawak Campus until they
cease to be employed in an academic capacity at Swinburne University of Technology Sarawak
Campus, unless earlier rescinded.
A person conferred with a title under this clause shall be subject to the same conditions with respect
to the conduct of research, ethical clearance for research, publication requirements and the
supervision of research students, as academic counterparts located within Melbourne Australia, as far
as applicable.
A person under the title of Sarawak Academic Affiliate will be accorded rights, honours and privileges
as the Vice-Chancellor may from time to time determine.
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Please notify a member of the HR Assist team if the online manual requires updating.
16
1.8
Induction
It is a requirement that all newly appointed staff of the University are provided with an appropriately
focused and targeted induction as soon as possible upon commencing employment.
The Swinburne induction process ensures that all new staff are provided with key information about
University directions and operations, core employer legislative requirements and local information
essential to enable new staff to perform their role effectively. The Swinburne induction process will
include the University’s online induction program and a local workplace orientation for the specific
work environment. This is complemented by discussions between the new starter and their manager
and any supporting documentation prepared within the relevant organisational unit.
1.8.1
Online Induction
The online induction provides easily accessible, relevant and useful information staff will need to know
to become effective in their role. Within four weeks of commencing, the staff member is required to
complete the online induction program under the supervision and guidance of the manager.
The online induction program is accessible on the Swinburne HR website in the ‘Working at
Swinburne’ section and can be accessed via this link:
http://www.swinburne.edu.au/corporate/hr/induction/index.html
The completion of the online induction program for staff will be the responsibility of the manager, with
support from Human Resources. The new staff member is also expected to take responsibility for
his/her induction, through accessing and reading material provided and completing relevant
compliance training modules and induction checklists.
1.8.2
Local Workplace Orientation
The manager is responsible for the appropriate induction of the staff member at the local level and
should ensure that new staff are provided with a local workplace orientation induction during the first
weeks of employment. On commencement, managers should provide new staff with appropriate
induction documentation, including the new starter checklist.
The local workplace orientation should cover:
(a) Introduction to work area and colleagues including office layout, health and safety and
evacuation procedures;
(b) Workstation, computer and email access, and other set up of materials;
(c) Local workplace practices/social aspects;
(d) Working conditions, processes and procedures (e.g. office hours, facilities, office supplies);
(e) Discussion of position description, including job requirements and establishing performance
and development objectives for the year; and
(f) Appropriate on the job training.
The manager is responsible for working through and completing New Employee Guide for Managers
Checklist. This can be accessed via the Induction page of the Swinburne HR website or via this link:
http://www.swinburne.edu.au/corporate/hr/induction/docs/manager-guide-a1.pdf
Note these procedures are subject to ongoing review. If you have printed this document, this July 2014 version may not be current.
Please notify a member of the HR Assist team if the online manual requires updating.
17
2
CONDITIONS AND BENEFITS
2.1
Probation
All new employees (except for VE teaching staff) are required to complete a probationary period.
The probationary period is intended to provide the manager and employee with a period of time to
ensure there is an appropriate match between the employee, the position and the work environment.
The probationary period ensures new appointees:
(a) are skilled, motivated and productive in their position of employment,
(b) have a clear understanding of the probation procedures to be followed, and
(c) are reviewed consistently with the Enterprise Agreement as varied from time to time.
(d) receive the required development opportunities to perform their role.
2.1.1
General Employees
The maximum period of probation for all new general employees (employed on either an ongoing or
fixed-term basis) is six months.
2.1.2
Academic Employees
The table below outlines the maximum periods of probation that shall apply to academic employees
(employed on either an ongoing or fixed-term basis at any level):
Contract period
Less than 3 years
3 years but less than 4 years
4 years or more (or ongoing)
Period of probation
6 months
12 months
24 months
An academic employee may apply at any time after 12 months for confirmation of the appointment.
2.1.3
Extension of Probationary Period
The University may elect to extend the probationary period for up to four weeks in accordance with
the Enterprise Agreement as varied from time to time.
All new employees subject to a probationary period shall be advised of the meaning and length of the
probation period and the probationary review process.
Where issues of unsuitability to the role arise, the University will:
(e) clearly indicate to the employee the areas of deficiency or concerns;
(f) indicate to the employee the standard of conduct and/or work performance required to be
achieved within clearly defined timeframes;
(g) permit the employee to respond to the deficiencies or concerns;
(h) advise the employee that continued unsatisfactory performance may result in the annulment
of the employee’s appointment with the University;
(i) ask the employee to provide a formal comment on the probation report; and
(j) provide the employee with a copy of the Probation Report.
The probationary review process will be managed by the employee’s Manager in accordance with the
Enterprise Agreement as varied from time to time.
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18
Where a probationary employee claims that there has been a breach of progress or is
aggrieved by a decision to annul his/her appointment, he/she may access the Dispute
Procedure outlined in the Enterprise Agreement as varied from time to time.
2.2
Hours of Work
2.2.1
General staff
Hours of work, are set out in Clause 29 of the Enterprise Agreement (EA) as varied from time to time.
The ordinary hours of duty shall not exceed an average of 36 3/4 per week to be worked on one of the
following bases 36 3/4 hours within a work cycle not exceeding 7 consecutive days;
73 1/2 hours within a work cycle not exceeding 14 consecutive days;
110 1/4 hours within a work cycle not exceeding 21 days;
147 hours within a work cycle not exceeding 32 consecutive days.
This may include a flexible working arrangement as agreed between an employee and their
supervisor. For example RDOs. The ordinary hours of duty for employees other than shift employees
shall be worked on any or all of the days of the week, Monday to Friday; and continuously, except for
meal breaks, between 8.00am and 6.00pm.
The University may reach genuine agreement with an employee in writing on schemes of shift
arrangements which may not attract shift allowance, provided that under these arrangements, no staff
member will be mandatorily required to work a shift which extends beyond 6.00pm, Monday to Friday
without payment of a shift penalty.
Notwithstanding other provisions of the agreement, the University can by agreement with employee(s)
concerned establish an arrangement for extended shifts of up to nine hours thirty minutes (exclusive
of meal breaks) which would not attract shift penalty. In such cases, the employee would not be
required to work on more than 80% of the ordinary working days (Monday to Friday). No formal offer
shall be made to an employee until at least 21 days’ notice has been given to the employee, and
agreement has occurred between the University and the employee.
2.2.1.1
Meal break entitlement
Meal Break Entitlements are set out in Clause 30 of the Enterprise Agreement as varied from time to
time.
An employee shall not be required to work more than 5 consecutive hours without a break for a meal.
A meal break shall be of at least 30 minutes but not more than one hour. Time taken as meal breaks
shall not be paid for and shall not be counted as time worked.
Where a staff member is entitled to a meal break but not entitled to payment for that meal break, an
allowance of $17.12 will be paid for each occurrence provided the staff member is also required to
work more than two (2) hours overtime after completion of his/her ordinary hours of work.
A General Fixed Term Contract/Ongoing Timesheet needs to be completed and authorised for a meal
allowance to be paid.
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Please notify a member of the HR Assist team if the online manual requires updating.
19
2.2.1.2
Overtime
Overtime Entitlements are set out in Clause 33 of the Enterprise Agreement as varied from time to
time.
Overtime is time authorised to be worked by an employee in excess of or outside of the ordinary hours
of duty of the employee.
An employee shall not be required to work excessive overtime on a regular basis as part of
operational procedure.
Where the ordinary hours of duty are fixed, calculation of overtime shall be based on the hours worked
on each day and overtime rates shall apply to all time worked in excess of or outside the fixed hours.
Where daily ordinary hours are flexible the total hours worked in a defined work cycle, calculation of
overtime shall apply to all time worked in excess of the ordinary hours of duty defined for the work
cycle.
Any period of overtime which is continuous with ordinary duty and which extends beyond midnight
shall be deemed to have been performed on the day the overtime commenced.
Where overtime is not continuous with ordinary duty and involves duty before and after midnight, the
overtime shall be deemed to have been worked on the day for which the higher rate is payable.
Overtime shall be calculated to the nearest quarter of an hour of the total amount of overtime worked
in a work cycle.
An employee in receipt of a salary not exceeding HEW 8.1 , may by mutual agreement between the
employee and the University reached prior to overtime being worked, take time off in lieu of overtime
payment such time being calculated in accordance with the overtime rates applicable.
An employee in receipt of a salary in excess of a HEW 8.1shall not be eligible to receive
payment for overtime but shall be allowed time off equivalent to the period of overtime
worked.
Where TOIL (time off in lieu) is accumulated in lieu of payment for overtime, such TOIL will
be taken within 3 months of accrual, or where agreed by the work unit, 6 months. Where
TOIL has accrued and not been taken as provided in this sub-clause, that TOIL shall be
paid out at overtime rates provided clause 33 of the Enterprise Agreement.
The salary of an employee for the purposes of calculating overtime shall not include shift
work allowances or casual loading but shall include higher duties allowances and any other
allowances in the nature of salary.
Payment for overtime calculated for any period in accordance with the provisions of this clause shall
not be subject to any limitations in amount within a work cycle
2.2.1.2.1
Other than shift employees -
(i) for overtime worked Monday to Saturday inclusive - ordinary rate plus 50% for the first three
hours and ordinary rate plus 100% thereafter.
(ii) for overtime worked on Sunday, ordinary rate plus 100%
(iii) for overtime worked on a holiday - ordinary rate plus 150%
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20
2.2.1.2.2
Shift Employees –
(i) except on a holiday - ordinary rate plus 100%
(ii) on a holiday - ordinary rate plus 150%.
An employee required to work overtime which is not continuous with ordinary duty shall receive a
minimum of three hours payment in respect of that overtime notwithstanding the period of duty may
be less than three hours.
Where more than one overtime attendance is involved the minimum payment provision shall not
operate to increase the overtime payment beyond that which would have been payable had the
employee remained on duty from the time of commencing one attendance to the time of ceasing a
subsequent attendance.
2.2.1.2.3
Overtime Ten-Hour Break
Where an employee works overtime which results in them not having a break of at least 10
consecutive hours plus reasonable travelling time prior to the commencement of the next ordinary
period of duty, shall be released for not less than 10 consecutive hours following completion of the
overtime duty without any loss of pay. If an employee is required to resume or continue work without
having had at least 10 consecutive hours plus reasonable travelling time and is not released from
duty, they shall be paid at the rate of ordinary rate plus 100% for the overtime worked.
For the purpose of this clause "reasonable travelling time" shall mean the period of time normally
required to travel from the place of residence of the employee to the place of work and back.
The T1 Form needs to be completed by general staff fixed term/ongoing employees, and signed by
the relevant authorised signatory, for overtime to be paid.
2.2.1.3
Shift work
Shift work entitlements are set out in Clause 31 of the Enterprise Agreement as varied from time to
time.
The shift work provisions shall not apply to an employee whose salary exceeds a HEW 8.1
2.2.1.3.1
Ordinary hours - shift employees
The ordinary hours of duty for shift employees (i) shall be worked continuously each shift except for meal breaks;
(ii) shall not exceed 10 hours inclusive of meal breaks in any single shift; and
(iii) shall be worked in accordance with this clause.
2.2.1.3.2
Shift penalties applicable - Monday to Friday
An employee engaged on afternoon or night shift shall for any ordinary hours worked on Monday to
Friday inclusive be paid ordinary rate plus 15%.
2.2.1.3.3
Shift penalties applicable - Saturday, Sunday and holidays
An employee required to work an ordinary shift on a Saturday, a Sunday or a holiday shall be paid
ordinary rate plus;
(i) On a Saturday
(ii) On a Sunday
(iii) On a holiday
- 50%
- 100%
- 150%
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21
A shift worker whose rostered day off duty falls on a holiday shall be granted one day's leave in lieu of
such holiday.
2.2.1.3.4
Change of shift allowance
An employee who without 72 hours’ notice is (i)
(ii)
(iii)
(iv)
transferred from day work to shift work;
transferred from one shift roster to another shift roster;
transferred to an unrostered shift; or
transferred to another shift within the roster;
shall be paid an additional allowance of 50% of the ordinary rate of pay of the employee for any shift
to which the employee is transferred and which occurs before the expiry of 72 hours’ notice.
2.2.1.3.5
Rotation of shifts
Unless mutually agreed between an employee and the University, shift rosters shall be arranged so
as to provide for shifts to be rotated on a weekly basis.
The Timesheet (General Staff Fixed Term /Ongoing Overtime, Shift Allowance and Meal Allowance
Claim) form needs to be completed and authorised for shift allowance to be paid.
2.2.2
VE Teachers
Provisions for Hours of Work as set out in the Victorian TAFE Teaching Staff Multi-Business
Agreement 2009
Employees carry out their professional duties for a minimum of 38 hours per week.
The span of ordinary hours is from 8.00am to 6.00pm Monday to Friday.
Employees shall not be required to work for more than five hours without being allowed a meal break
of at least 30 minutes. Employees shall not be required to take meal breaks of more than one hour.
Employees shall not be required to attend during meal breaks. Employees shall be entitled to take
their lunch break between the hours of 12.00 midday and 2.00 p.m. and shall be entitled to take an
evening meal break between the hours of 5.00 p.m. and 7.00 p.m.
Employees classified as Teachers are required to attend their work location for 30 hours per week for
up to 42 weeks per year and are not required to attend on days when duties are not scheduled.
Agreement between the Employer and the Teacher is required for attendance beyond these limits.
The Employer may only seek such agreement after an Employee has been employed and then only
after providing reasonable time for the Employee to gain advice and make an informed decision.
Where duties are scheduled on the same day, the time between duties shall be deemed to be
attendance time except for the meal break.
2.2.2.1
Allocation of duties
Within a calendar year, employees classified as Teachers are accountable for 1748 hours of teaching
and other duties. For a full time teacher this includes 960 hours of scheduled duties and 788 of
unscheduled duties.
Scheduled duties include a maximum of 800 hours of teaching and 160 hours of other scheduled
duties.
Unscheduled duties include 400 hours of preparation and correction and 388 hours of other selfdirected professional duties. This should be applied on a pro rata basis for part time TAFE Teachers.
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22
The allocation of such duties is subject to the provisions of clauses 18.6 and 18.7 of the Award
(AP816514), including the maximum annual and weekly scheduled duties and teaching duty hours,
except as provided by the 2009 Agreement/Award.
Consultation and agreement of the teacher is required for an allocation of more than 21 hours of
teaching duty or more than 26 hours of scheduled duties in any one week provided that a Teacher
shall not unreasonably refuse the Employer’s request to perform an allocation of more than 21 hours
of teaching duty or more than 26 hours of scheduled duties in any one week. Any agreement must not
provide for more than an average of 21 teaching duty hours or 26 scheduled duties per week over a
semester.
A Teacher may be asked to perform scheduled duties as part of their ordinary hours of duty outside
the span of ordinary hours; however, such an allocation should be by consultation and agreement
with the teacher concerned.
Subject to prior approval by the Manager ordinary work performed outside of the ordinary span of
hours shall attract a loading as follows:
•
•
•
For each hour worked on a Monday to Saturday from 6pm to 10pm, a loading of 25% of the
ordinary hourly rate shall be paid;
For each hour worked on a Monday to Saturday after 10pm, a loading of 75%;
For each hour worked on a Sunday, a loading of 50% of the ordinary hourly rate shall be paid
Notwithstanding the above, in circumstances where a Teacher has agreed, as part of their work plan
(semester plan) negotiations, to teach one evening or more per week no penalty loading shall apply to
one evening’s teaching per week.
By agreement of the Head of the Management Unit, excess teaching can only be paid:
•
•
Where the Teacher performs teaching duties in excess of their limit in the roster allocated by
their Manager; or
Where the Teacher performs teaching duties in excess of 800 hours per calendar year
The allocation of excess teaching duties is determined following consultation with, and agreement of,
the teacher concerned provided that a teacher shall not unreasonably refuse the request.
In determining whether the request is reasonable or a teacher’s refusal is unreasonable the below
principles should be considered:
•
•
•
•
•
•
•
•
•
any risk to the Teacher’s health and safety;
the Teacher’s personal circumstances, including family responsibilities;
the needs of the workplace in which the Teacher is employed;
whether the Teacher is entitled to receive excess teaching duty payments or penalty rates;
the notice given by the Teacher of their intention to refuse to work the additional hours;
the notice given by the employer of any request or requirement to work the additional hours;
the usual pattern of work in which the employee works;
the nature of the Teacher’s role and level of responsibility;
any other relevant matter.
Excess teaching duties paid in accordance with the above will not be counted towards the annual
teaching load of the teacher concerned.
The following rates shall be paid for excess teaching hours:
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23
•
•
Monday to Saturday (inclusive):
o
During the ordinary span of hours, an amount of 50% of the ordinary hourly rate
o
Outside the ordinary span of hours, an amount of 150% of the ordinary hourly rate for the
first 2 hours
o
Outside the ordinary span of hours, an amount of 200% of the ordinary hourly rate
beyond the first 2 hours on each day
Sunday:
o
In all cases, at the rate of 200% of the ordinary hourly rate
Where a Teacher, by consultation and agreement, has worked scheduled duties outside the ordinary
span of hours of which penalty rates will apply OR has worked excess teaching duties the requesting
Manager should complete a T2 form (Timesheet TAFE Teaching Staff Fixed Term/Ongoing)
2.3
Leave Entitlements
2.3.1
Academic and General Staff
2.3.1.1
Leave to Count as Service – General Provisions
The general provisions for Academic and General staff leave are set out in Clause 35 of the
Enterprise Agreement as varied from time to time.
Unless otherwise stated, leave shall be paid leave on full salary.
These provisions do not apply to casual employees and shall apply on a pro-rata basis for employees
employed less than the specified full time hours per week and/or less than 52 weeks per annum.
The following shall count as service in determining the entitlement of an employee to leave and for all
other purposes:
• any period of paid leave with long service leave taken on half pay counting as normal
service;
• any continuous period of sick leave without pay not exceeding twenty working days;
• any period of sick leave without pay not exceeding, in the aggregate, twenty working days in
any year of service;
• any period of paid maternity leave not exceeding 52 weeks;
• any period of paid adoption leave not exceeding 52 weeks;
• any period of leave without pay for the purpose of contesting elections to Federal or State
Parliament;
• any period of arbitration leave without pay;
• any period of leave related to workers compensation for academic staff employees;
• any other period of unpaid leave, whether continuous or aggregate, not exceeding twenty
working days in any year of service;
For the purpose of determining an employee's entitlement to long service leave where the employee's
service is not continuous the aggregate period of service including service recognised from previous
Universities shall count as service.
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24
2.3.1.2
Annual leave
Annual leave provisions for Academic and General staff leave are set out in Clause 36 of the
Enterprise Agreement as varied from time to time.
An employee shall be entitled to annual leave of twenty working days for each completed year of
service from the date of appointment.
The time of taking annual leave shall be by mutual agreement between the employee and
management. If the employee and the management are unable to agree upon the time of taking of
leave, the matter shall be referred to the University for final resolution.
2.3.1.2.1
Academic staff only
Annual leave shall be calculated on a calendar year basis commencing on January 1 in each year.
Entitlements to annual leave will be credited one year in advance on the first day of January each
year. An employee who is appointed after the first day of January shall be credited with
pro-rata annual leave.
Employees that accrue leave in excess of 40 days shall be directed to take leave that reduces their
leave entitlement to 30 days and have this leave deducted from their leave balance. However, before
such annual leave is deducted, the employee will be advised in writing that annual leave will be
deducted unless the employee commences the taking of annual leave within one month of the date of
written advice. The employee will be given the opportunity to take the annual leave.
2.3.1.2.2
Seven day shift workers only
An employee whose ordinary hours of duty are performed over seven days a week, including public
holidays, shall be granted annual leave credits in addition to the relevant entitlement set out as
follows:
Number of Sundays Worked (Per
Calendar Year)
Additional Leave Entitlement (Per
Calendar Year)
10 or more days
5 days
Less than 10 days
0.5 days per Sunday
The additional annual leave prescribed above shall be exclusive of non-working days and holidays.
2.3.1.2.3
Annual leave loading
Employees are entitled to a 17.5% loading, at the rate of twenty working days for each completed
year of service. Annual leave loading is calculated on the ordinary rate of payment (excluding
weekends, public holidays, overtime and penalty rates) and is payable on the first pay period in
December each year or on the date of termination of employment.
An employee whose employment commenced after 1 December in any year and / or terminated
before 30 November will be paid the annual leave loading calculated for each completed month of
continuous service.
2.3.1.2.4
Payment in lieu
Annual leave credits are not affected by taking long service leave and continue to accumulate during
long service leave. Transfer of annual leave credits accumulated with another employer will not be
accepted.
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25
2.3.1.3
Personal Leave
Personal Leave provisions for Academic and General staff leave are set out in Clause 37 of the
Enterprise Agreement as varied from time to time.
Employees will be credited with 30 days personal leave upon appointment or a pro-rata amount
where the contract is for less than two years, which may be taken immediately and in full. No further
personal leave will accrue until the employee has completed two years of service, at which time an
employee will be entitled to personal leave of 15 working days for each year of service. .
An employee is entitled to take personal leave in the following circumstances and shall accumulate if
not taken:
2.3.1.3.1
Sick leave
Sick leave equal to the personal leave entitlement. Sick leave of more than three consecutive
working days (including weekends and public holidays) or a total of 6 or more working days in any
year of service, must be supported by a certificate from a medical practitioner or a statutory
declaration stating the nature of the illness and the period of leave. The University will recognise prior
service/ sick leave credits only with other publicly funded Australian universities or Technical and
Further Education Institutes, for the purpose of sick leave, provided that the break in service between
leaving the former University or Institute and commencing with Swinburne University is less than two
months. Service in other circumstances may be recognised at the discretion of the Vice-chancellor or
nominee.
Where a public holiday falls during a period of sick leave and that holiday is observed by the
University, no deduction shall be made from the sick leave credits of an employee for that day.
A general staff employee may convert sick leave on full pay to sick leave on half pay.
2.3.1.3.2
Isolation leave
An employee who contracts an infectious disease classified as notifiable to the Victorian Department
of Health or who is required by a medical practitioner to remain in isolation by reason of contact with a
person suffering from a notifiable infectious disease, shall be granted isolation leave on full pay for the
period that the employee is required to be absent and shall not have such leave deducted from sick
leave credits.
2.3.1.3.3
Bereavement leave
Three days bereavement leave on any occasion on which a member of the employee’s immediate
family, or household dies or to up to 5 days unpaid bereavement leave (where she/he has used all
personal leave entitlement).
Where the period of bereavement leave entitlement is inadequate due to special circumstances, such
as a delayed funeral or the necessity of the employee undertaking extensive travel, the employee
may request further paid leave.
2.3.1.3.4
Carer’s leave
Carer’s leave, equal to his/her personal leave entitlement, is accessible to employees in
circumstances genuinely related to carer responsibilities for someone else who is wholly or
substantially dependant for ongoing care.
The employee must, if required by the University, provide a medical certificate or statutory declaration
for the illness of the person concerned and that the illness is such as to require care by another.
2.3.1.3.5
Special Repatriation Leave
An employee shall be entitled to be granted special repatriation leave for illness due to disabilities
certified by the Department of Veterans Affairs as having directly resulted from war service. Such
leave shall be granted with full pay up to 15 days during each year of service and shall not be
Note these procedures are subject to ongoing review. If you have printed this document, this July 2014 version may not be current.
Please notify a member of the HR Assist team if the online manual requires updating.
26
deducted from sick leave credits. Such leave shall accumulate if not taken provided that the total of
the accumulated leave shall not exceed 100 days.
2.3.1.3.6
Application for Personal Leave
Where practicable, any employee shall inform their supervisor within three hours of commencement
of any absences from their duties due to ill health.
Application for personal leave must be made within one week of the employee’s return to work.
Any certificates such as from a doctor must be forwarded to Human Resources for reference and
storage.
2.3.1.4
Parental Leave (Maternity /Adoption / Paternity)
Parental Leave provisions for Academic and General staff leave are set out in Clause 38 of the
Enterprise Agreement as varied from time to time.
Parental leave (paid and unpaid) is available for eligible employees when they become a significant or
primary carer of a child. Parental leave entitlements are as follows (part-time employees shall be
eligible to the below entitlements on a pro rata basis)
2.3.1.4.1
Maternity / Adoption Leave
A staff member who has 12 months service is entitled to 14 weeks on full pay and 38 weeks at 0.6 of
salary up to 52 weeks in duration. Maternity Leave is to commence within 20 weeks before or 6
weeks after the (expected) date of birth – except as agreed.
A staff member with less than 12 months service is entitled to 1 week for each completed month of
service and additional unpaid leave up to 52 weeks in duration.
2.3.1.4.2
Partner Leave – Primary Carer
A staff member who is the primary carer is entitled to 3 weeks paid and 49 weeks unpaid leave up to
52 weeks duration.
(i) Partner Leave – Not Primary Carer
A staff member who is not the primary carer is entitled to 3 weeks paid leave.
(ii) Foster Parent Leave
A staff member who is the Primary carer of Child that is 5 years or older is entitled to 3 weeks at half
pay.
2.3.1.4.3
Foster Parent Leave
A staff member who is Primary carer of a child that is less than 5 years old is entitled to 6 weeks at
half pay.
2.3.1.4.4
Child-Rearing Leave
A staff member who is the Primary carer of a child up to the age of 6 years is entitled to 52 weeks
unpaid leave.
If requested by the staff member, any paid proportion of maternity or adoption leave may be paid as a
lump.
2.3.1.4.5
Additional Parental Leave
Employees may apply for an extension to child rearing leave beyond the 52 weeks entitlement. If any
such extension is granted, the University and the employee shall negotiate arrangements for return to
work.
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27
Upon return from any period of maternity / adoption / child-rearing leave, an employee is required to
complete a further 12 months service to be eligible for the full maternity / adoption / child-rearing leave
entitlement. as
Where an employee has completed less than 12 months service since returning from maternity /
adoption / child-rearing leave, for a further period of maternity / adoption leave an employee will be
entitled to one week of paid leave for each month service since returning to work and additional
unpaid leave up to 52 weeks duration.
Where an appointment has a fixed termination date, the staff member’s entitlement to parental leave
ceases from that date, except as provided in this clause.
Where an employee is at least 20 weeks pregnant at the time her fixed term contract expires, she
shall be entitled to the relevant maternity leave entitlement outlined in the relevant Award or
Agreement,
(i) she was offered and refused another contract of broadly comparable employment; or
(ii) the work she had performed under the fixed term contract is no longer being performed at all.
2.3.1.4.6
Unplanned Cessation of Parental Leave
If parental leave has commenced, or has been applied for but not commenced, and:
(i) in the case of maternity leave, the pregnancy of the staff member terminates other than by
the birth of a living child, or the staff member’s child dies during the period that the staff
member is on leave; or
(ii) in the case of adoption leave, the child dies during the period that the staff member is on
leave;
(iii) the staff member shall be entitled to 14 weeks parental leave, and unpaid leave up to a period
of 12 weeks, or such longer period as may be certified by a medical practitioner, up to a
maximum of 52 weeks.
Where partner leave has commenced and the child dies during the period that the staff member is on
leave, the staff member shall be entitled to up to ten days unpaid leave or such longer period as may
be certified by a medical practitioner up to a maximum of four weeks, in addition to any period of
compassionate leave.
Where child rearing leave has commenced and the child dies during the period the staff member is on
child rearing leave, the staff member shall be entitled to fourteen weeks unpaid leave or such longer
period as may be certified by a medical practitioner up to a maximum of 52 weeks, in addition to any
period of compassionate leave.
2.3.1.4.7
Resumption of duty
Employees returning from parental leave will normally return to the position occupied immediately
prior to commencement of leave. When this is not possible the employee will be offered another
comparable position with no loss of salary, tenure or classification.
2.3.1.4.8
Notice Provisions
An employee must provide the University with written notice of the date upon which she proposes to
commence maternity leave and the period of leave to be taken. This must be provided to the
University four weeks prior to the commencement of maternity leave, save that management may
waive the requirement for notice.
If the pregnancy of an employee terminates after 20 weeks and the employee has not commenced
maternity leave at that time, the employee may take special paid maternity leave as provided by the
relevant Award or Agreement, where a registered medical practitioner certifies as necessary.
Parental Leave applications approved by Head of Management Unit, should reach Human Resources
three months before the leave is required.
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Please notify a member of the HR Assist team if the online manual requires updating.
28
2.3.1.5
Long Service Leave
Long Service Leave provisions for Academic and General staff leave are set out in Clause 39 of the
Enterprise Agreement as varied from time to time.
An employee shall be entitled to long service leave of 13 weeks after 10 years’ service and at the rate
of 1.3 weeks for every additional year of service thereafter. Such leave may be taken on full or half
pay. Where an employee with accrued sick leave credits becomes ill for two or more consecutive
working days whilst on long service leave the employee shall, provided that a certificate from a
registered medical practitioner or a statutory declaration is submitted for the period of the illness, be
entitled to be placed on sick leave and no deduction shall be made from long service credits for the
days in question.
For employees commencing employment with the University on or after the date of certification of the
Enterprise Agreement, the University will recognise prior service only with other publicly funded
Australian Universities or Technical and Further Education Institutes, provided that the break in
service between leaving the former University or TAFE and commencing with the University is less
than 2 months.
An employee, or where applicable his or her legal representative, shall be entitled to payment in lieu
of long service leave accrued but not taken as at the date of termination of service where:
•
•
the employee's employment at the University terminates after 7 years or more service,
including recognised service with another University;
after 4 years’ service at the University the employee retires on the grounds of age or illhealth or the employee dies.
A staff member shall be required to serve at least three years before being permitted to take long
service leave.
Application can be made via Swinburne People Online or by downloading a form via the Forms area
of the Human Resources website.
Heads of Management Units have the authority to approve long service leave
2.3.1.6
Other leave
An employee is entitled to leave on full pay (unless otherwise specified) in the following
circumstances:
2.3.1.6.1
Jury Service
An employee who is required to attend a court for the purpose of jury service shall be entitled to jury
service leave for the duration of such attendance
2.3.1.6.2
Defence Forces Leave
An employee who is a member of the Defence Reserve Forces shall be entitled to leave for the
purpose of attending an annual training camp of fourteen calendar days duration. Where the
commanding officer of the relevant service unit certifies that such training exceeds fourteen days, an
employee shall be entitled to up to eighteen calendar days duration.
2.3.1.6.3
Fire fighting and emergency assistance leave
An employee who is a member of any voluntary organisation called upon by the government or a
competent authority under the State Disaster Plan to assist in fire fighting or other forms of
emergency assistance (including auxiliary operations) shall be entitled to leave for the duration of the
participation by the employee in operations.
An employee who responds to an appeal for volunteers to meet a declared bushfire or other
emergency shall be entitled to leave on full pay for the duration of operations.
General staff granted fire fighting or emergency assistance leave shall be entitled to a further one day
on the completion of the service for the purpose of recovering from such participation.
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29
2.3.1.6.4
Leave to contest elections
Where an employee is a candidate for election to Federal or State Parliament, the employee shall be
entitled to take leave of absence on a continuous basis for all or part of that period between the date
of the close of nominations and the date of the declaration of the poll. Unless the employee elects to
use accrued recreation or long service leave to cover all or part of the period of absence, such leave
shall be without pay.
2.3.1.6.5
Leave for religious purposes
An employee shall be entitled to leave of up to three working days unpaid in any calendar year for the
purpose of observance of religious occasions.
2.3.1.6.6
Study leave (General staff)
To be eligible for study leave, a course of study must be relevant to the employee's position and have
the ability to enhance the knowledge, skills and/or expertise of the incumbent. It is the responsibility of
the Head of Management Unit to determine whether or not a course of study meets these
requirements in order for an employee to have entitlement to this provision.
Study Leave entitlements are as follows:
(i) One subject per semester - up to 3 hours per week for the attendance of lectures and tutorials
and up to 2 days per annum for the preparing and attending of examinations.
(ii) Two or more subjects per semester - up to five hours per week for the attendance of lectures
and tutorials and up to 4 days per annum for the preparing and attending of examinations.
Employees studying via distance education shall be entitled to the stated hours above for the
preparation of course work, rather than the attending of lectures or tutorials. Preparing and attending
examinations is in accordance with the above-mentioned formula, depending on the number of
subjects.
2.3.1.6.7
Court Appearance Leave
An employee who is subpoenaed to appear in court as a crown witness or who is subpoenaed to give
evidence on matters directly related to his or her employment shall be entitled to leave for the period
of such appearance. Leave without pay will be granted to employees required to attend court in
another capacity.
2.3.1.6.8
Arbitration leave
Employees who are required to attend any proceedings under the Workplace Relations Act 1996 as
amended from time to time, or the regulations thereunder, shall be entitled to leave of absence on the
following conditions:
(i) leave of absence for conduct of a case shall be with full pay;
(ii) leave of absence for preparation of a case shall be without pay and shall not exceed three
months in any year of service;
(iii) leave of absence with full pay shall be granted to any employee who is summoned as a
witness in proceedings under the Workplace Relations Act 1996 as amended from time to
time, or the regulations thereunder. The leave shall be only for such time as that the
employee is necessarily absent from duty attending as a witness.
2.3.1.6.9
Removal of household goods leave
Where an employee is required by the University to perform all or the major part of their duties at a
campus or component of the University other than at the employee's previous place of work with
Swinburne University and the employee elects to relocate to a residence more convenient, the
employee shall be entitled to leave on full pay for up to two working days for the purpose of removal
of household goods.
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30
2.3.1.6.10
Leave for sporting competitions
A staff member who participates as a competitor or accredited official in the Olympics or
Commonwealth Games shall be entitled to leave for the period of competition together with
reasonable travel time. Participants in other international or interstate competitions shall be entitled to
unpaid leave. The entitlement to leave for these purposes is up to 20 days in a year of service and 14
days’ notice shall be given along with documentary evidence.
2.3.1.6.11
Leave to accompany a spouse in travel – General staff
Where an employee's spouse is also employed by the University and the spouse is to travel whilst on
long service leave or as part of a Professional Experience Program, Staff Training or the spouse is
required by the University to travel, the employee shall be entitled to leave without pay to accompany
the spouse provided that:
(i) the spouse is to travel overseas;
(ii) leave shall be granted only for the period to be spent by the spouse in travelling;
(iii) leave shall be granted on two occasions only subject to the discretion of management to
grant further leave;
(iv) such leave shall take effect only after the employee's accrued long service leave and
recreation leave credits have been exhausted;
(v) satisfactory evidence that the spouse is to travel overseas, together with the period and
purpose of overseas travel, is submitted.
2.3.1.6.12
Blood Donor Leave - General Staff
General staff who elect to donate blood shall be granted leave on full pay for the period of leave
required for each attendance
Applications for other leave can be made via Swinburne People Online or by downloading a form via
the Forms area of the Human Resources website.
The employee’s supervisor has the authority to approve other leave.
2.3.1.7
Special leave (with or without pay)
Subject to the operational requirements of Swinburne University, the University may grant an
employee such other leave with or without pay and on such terms and conditions as agreed between
the University and the employee.
Leave without pay, other than for circumstances for which an entitlement is specified in the relevant
Award or Agreement, is discretionary.
Where a leave entitlement exists, staff should normally be expected to take the leave to which they
are entitled before consideration is given to special leave.
In considering an application for leave without pay approving authorities must have regard to the
effective functioning of the University and any special circumstances which have led to the
application. Factors which require consideration may include:
(a) a demonstrated indirect professional or commercial benefits for University operations,
teaching or research from the activity being undertaken during the leave period;
(b) compassionate reasons;
(c) whether adequate arrangements have been made to ensure that the students are not unduly
disadvantaged.
(d) if the staff member is not replaced, the impact of the absence on the effective functioning of
the Faculty, School or Department.
(e) if the staff member is replaced, the cost of replacement recruitment and loss of productivity
due to inexperience of replacement staff and delays in recruiting a replacement balanced
against possible loss of an experienced member of staff with resultant costs.
(f) a subsequent or further application for discretionary or special leave where the total leave
period will extend beyond twelve months will only be granted only under exceptional
circumstances.
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31
Any period of special leave with or without pay, whether continuous or aggregate, exceeding twenty
working days in any year of service does not count as service in determining the entitlement of a staff
member to leave or for any other purpose.
Applications for special leave with or without pay may be approved as follows:
•
•
•
A period of four weeks or less – Heads of Management Units
A period of twelve months or less - Deans of Schools, VE School Directors,
A period of more than twelve months – Senior Deputy Vice-Chancellor and Provost, Deputy
Vice-Chancellor, Vice President or Pro Vice Chancellor.
Special leave with pay may be approved by the Senior Deputy Vice-Chancellor and Provost, Deputy
Vice-Chancellor, Vice President or Pro Vice Chancellor.
Applicants seeking leave without pay must discuss all salary deductions with Human Resources so
that arrangements can be finalised prior to commencement of leave.
Leave without pay can have an impact on superannuation entitlements and employees should consult
their superannuation fund . An employee may apply for special leave by completing a Leave
Application form accompanied by a written statement outlining the circumstances necessitating the
taking of discretionary or special leave (with or without pay).
The application form must then be sent to the Head of Management Unit
In accordance with the approvals for special leave the Head of Management Unit or other appropriate
authority may:
•
•
2.3.2
Approve / not approve the special leave, or
Recommend / not recommend the application for special leave and provide a statement of
reasons and send the application and accompanying documentation for approval.
TAFE Teachers
General Leave provisions for TAFE Teachers are set out in clause 19 of Schedule 6 the Victorian
TAFE Teaching Staff Multi-Business Agreement 2009
No employee during any period of paid leave provided for by this award (MBA) shall engage in any
employment for hire or reward with an employer known to him or her to be bound by the same award
(MBA).
No employer bound by this award (MBA) shall employ any such employee when such employee is
known by the employer to be on any period of paid leave provided for by this award (MBA).
It is the individual employee’s responsibility to ensure that he/she applies for annual leave using the
University’s Swinburne People online SPO Employee Web Self Service (EWSS) prior to any leave
being taken.
2.3.2.1
Annual leave
Annual Leave provisions for TAFE Teachers are set out in clause 21 of Schedule 6 the Victorian
TAFE Teaching Staff Multi-Business Agreement 2009
An employee shall be entitled to twenty days annual leave for each twelve month period of continuous
service or on a pro-rata basis for any period of service which is less than twelve months or for those
working part time.
Annual Leave shall accrue from the date of commencement at the rate of 1.67 days for each
completed month of service and shall be taken within fifteen months of being accrued unless
otherwise agreed by the employee and the University.
Annual Leave, including leave taken in excess of the leave credits accrued, shall be taken at a
mutually agreeable time having regard to the operation of the University, provided that a request for
leave including a request for leave of four weeks duration or for single day absences not exceeding, in
aggregate, 10 days per annum, shall not be unreasonably refused.
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32
2.3.2.2
Annual leave loading
Annual Leave Loading provisions for TAFE Teachers are set out in clause 19 of the Victorian TAFE
Teaching Staff Multi-Business Agreement 2009
The payment of an annual leave loading to TAFE teaching staff shall be in accordance with the
provisions the Victorian TAFE Teaching Staff Multi-Employer Certified Agreement 2003.
A TAFE teacher's entitlement to an annual leave loading is calculated on paid service from 1 July to
30 June.
An annual leave loading shall be paid to a TAFE teacher in the last pay in August of each year or
such other date as may be agreed between the University and the Australian Education Union.
The annual leave loading for part-time service and/or for teachers employed for less than a full year
shall be calculated on a pro-rata basis.
A TAFE teacher shall be paid an annual leave loading equivalent to 17.5% of 4 weeks ordinary time
earnings.
2.3.2.3
Personal leave
Personal Leave provisions for TAFE Teachers are set out in clause 22 of Schedule 6 the Victorian
TAFE Teaching Staff Multi-Business Agreement 2009
Where an employee is absent from duty by reason of personal illness or injury or is required to
provide care and support for a member of the employee’s family or household who is ill, personal
leave at the ordinary rate of pay shall be granted in accordance with the following provisions:
On appointment an employee shall be entitled to a credit of fifteen days personal leave on full pay.
Upon the completion of the first year of service, personal leave shall be accrued at the rate of 1.25
days per month.
The employer may grant additional paid leave in advance of entitlement, however, if an employee’s
employment is terminated and that employee has taken more paid personal leave than would have
been accrued the employer may recoup the amount of paid personal leave in excess.. Unused
personal leave shall be cumulative.
Where practicable any employee shall within three hours of the commencement of such absence
inform the employer of his/her inability to attend for duty and as far as practical state the estimated
duration of absence.
An employee shall prove to the satisfaction of the employer that the inability to attend for duty was
due to such illness or injury or the need to care for an ill or injured immediate family or household
member on the day or days for which personal leave is claimed. The provision of a medical certificate
from a registered health practitioner with respect to such illness or injury shall be taken to satisfy this
requirement..
An employee shall not be required to provide a medical certificate for five days of absence in a
calendar year. Provided that an employer may require a certificate for absences in excess of three or
more consecutive days.
Continuous personal leave with pay shall not be granted to an employee for any period exceeding
thirteen weeks unless an agreed registered health practitioner certifies that the leave is necessary.
Where an employee is continuously absent from duty because of personal illness beyond a period of
thirteen weeks, the employee shall not be permitted to return to duty until the nominated registered
health practitioner certifies fitness to return to duty.
A public holiday observed during any period of personal leave taken by an employee shall not be
regarded as part of the personal leave.
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33
Where an employee with accrued personal leave credits becomes ill for not less than five consecutive
days while on long service leave or annual leave, on provision of a medical certificate from a
registered medical practitioner, the employee shall be entitled to be placed on personal leave in
accordance with this clause and no deduction shall be made from the employee’s long service leave
or annual leave credits for the days in question.
The employer shall recognise the cumulative personal leave credits from the immediate prior
employment at any of the following authorities or institutions:|
•
•
•
•
•
another Victorian TAFE Institute or University; or
a Victorian state primary school or state secondary college; or
the Public Service of Victoria; or
a public entity as defined by section 5 of the Public Administration Act 2004 (Vic.) or its
successor.
any other previous employer as may be agreed between the employee and the employer at
the time of the employee’s appointment.
Any claim for recognition of cumulative personal leave must be made within six months of the date of
appointment.
2.3.2.4
Bereavement leave
Bereavement Leave provisions for TAFE Teachers are set out in clause 23 of Schedule 6 the
Victorian TAFE Teaching Staff Multi-Business Agreement 2009
Upon satisfactory evidence, the University will grant bereavement leave for up to three days without
loss of pay to any employee on each occasion of the death of either a member of the employee’s
immediate family or household.
Additional leave (with or without pay) may be granted where the University considers that such leave
granted is inadequate according to the circumstances of the employee.
2.3.2.5
Long service leave
General Leave provisions for TAFE Teachers are set out in clause 19 of Schedule 6 the Victorian
TAFE Teaching Staff Multi-Business Agreement 2009
An ongoing or fixed-term employee (“TAFE Teacher”) may access the Long Service Leave
entitlements in the TAFE Teachers’ conditions of Employment (Victoria) 2002 Award (AP816514) on
a pro rata basis after 7 years’ service.
An employee shall be entitled to long service leave of thirteen weeks after ten years’ service and at
the rate of 1.3 weeks for every additional year of service thereafter. Such leave shall be on full pay
provided that the employee
may elect to convert all or part of the period of entitlement to double
the period by taking leave on half pay.
Where on the termination of employment payment is made in lieu of long service leave accrued but
not taken, the amount of such pay shall be computed on a daily basis equivalent to 1.3 weeks per
annum.
For the purpose of determining an employee's entitlement to long service, leave employment at any of
the following authorities or institutions shall count as service:
(a)
another Victorian TAFE Institute or University; or
(b)
a Victorian state primary school or state secondary college; or
(c)
the Public Service of Victoria; or
(d)
a public entity as defined by section 5 of the Public Administration Act 2004 (Victoria)
or its successor;
(e)
any other previous employer as may be agreed between the employee and the
employer at the time of the employee’s appointment.
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34
An employee shall be entitled to have service with previous employers of the employee recognised for
the purpose of determining the long service entitlement of the employee provided that:
(a)
an employee shall make any claim for recognition of prior service within six months of
the date of appointment. Swinburne University of Technology will, as soon as
possible after the date of the employee's appointment but no later than twelve months
from that date, notify the employee in writing as to the amount of prior service
recognised for long service leave purposes;
(b)
in the case of any employee employed on or after the date of the award the amount
of service with previous employers recognised for long service leave purposes shall
not exceed ten years.
An employee, or where applicable his or her legal representative, shall be entitled to payment in lieu
of long service leave accrued but not taken as at the date of termination of employment where:
(a)
the employment of the employee terminates after seven years or more service;
(b)
after four years’ service with the employer the employee is retrenched, retires on the
grounds of age or ill health or the employee dies.
Long service leave shall be taken at a mutually agreeable time having regard to the operation of
Swinburne University of Technology, provided that a request for leave shall not be unreasonably
refused.
The minimum absence on long service leave will be granted in accordance with the provisions of
relevant legislation, industrial awards, employment contract or certified agreement, but where
possible, should not be less than half a calendar month (15 consecutive days).
If a staff member is eligible for a period of long service leave, or for payment in lieu, immediately prior
to his/her transfer to another institution, the staff member's current institution shall grant such leave
and/or make payment in lieu, prior to the transfer taking place, unless some other specific
arrangement for the transfer of an entitlement has been concluded between the two institutions
concerned.
A staff member shall be required to serve at least three years before being permitted to take long
service leave.
2.3.2.6
Court attendance leave
Court Attendance Leave provisions for VE Teachers are set out in clause 24 of Schedule 6 the
Victorian TAFE Teaching Staff Multi-Business Agreement 2009An employee required to appear and
serve as a juror in any court shall be granted leave at the ordinary rate of pay for the period during
which the attendance for the employee at court is required.
An employee under a subpoena or order, shall be entitled to attend the relevant jurisdiction as part of
their official duties, without loss of pay.
To obtain approval for leave under this clause, a copy of the notification that the employee is required
to attend the court must support a leave application.
2.3.2.7
Military leave
Military Leave provisions for VE Teachers are set out in clause 25 of Schedule 6 the Victorian TAFE
Teaching Staff Multi-Business Agreement 2009
Leave of absence without loss of pay may be granted for two weeks in any year to a teacher who is a
voluntary member of the Reserve Forces for the purpose of attending annual training. A further four
days a year for the same purpose may be granted upon certification by the Commanding Officer of
the particular service unit concerned.
No employee during any period of paid leave provided for by this award shall engage in any
employment for hire or reward with an employer known to him or her to be bound by this award.
No employer bound by this award shall employ any such employee when such employee is known by
the employer to be on any period of paid leave provided for by this award.
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35
Leave applications for court attendance or military leave must be made by completing a Leave
Application Form.
Application for paid Military leave shall be submitted for approval to the University and satisfactory
evidence of attendance at the annual training, shall be forwarded on resumption of duty
The Head of Management Unit has the authority to approve leave in the categories listed above.
2.3.2.8
Special leave and leave without pay
Special Leave provisions for VE Teachers are set out in clause 31 of Schedule 6 the Victorian TAFE
Teaching Staff Multi-Business Agreement 2009
Subject to the operational requirements of the University, the employer may grant the employee such
other leave with or without pay and on such terms and conditions as agreed between the employer
and the employee.
The granting of special leave where an employee has accrued but not taken annual leave credits,
shall be at the employer's discretion.
An employee may make a request for special leave by completing a Leave Application form and by
providing details of the request to their department manager.
The Head of Management Unit should recommend/not recommend the application for special leave
and forward the application for approval to the Director Vocational Education or nominee.
Leave without pay can have an impact on superannuation entitlements and employees should consult
their superannuation fund . Applications for leave without pay are made by completing a Leave
Application Form, accompanied with a written statement prepared by the employee that outlines the
circumstances necessitating the taking of leave without pay.
2.4
Leave Management
Heads of Management Units will be responsible for ensuring the management of employee’s leave
entitlements.
All eligible staff are to take annual leave entitlements within 12 months from the date such leave has
accrued.
Managers will consult with the staff to ensure, where possible, leave accruals are taken at a mutually
convenient time and work unit operations are not adversely affected.
Any accrual of annual leave in excess of 30 days must have the approval of the Vice Chancellor.
Upon request from an eligible employee to accrue in excess of 30 days, the Head of Management
Unit shall confer with the Vice Chancellor for confirmation of approval or non-approval of the request.
2.4.1
Annual Leave - Academic and General Staff (Fixed-Term)
All Academic and General Staff on fixed term contracts are to take any annual leave entitlements
within the period of the term of the contract.
No accrual of annual leave is to carry forward to any subsequent contract of employment
2.4.2
Annual Leave - TAFE Teachers (Ongoing and Fixed-Term)
All eligible TAFE Teachers are to take their annual leave entitlements within 15 months of accrual,
unless otherwise agreed by the Head of Management Unit.
Leave, including any excessive of leave entitlements, shall be taken at a mutually agreeable time
having regard to the teaching operations of the Division.
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Please notify a member of the HR Assist team if the online manual requires updating.
36
2.4.3
All Academic staff (Ongoing and Fixed Term)
A report will be generated by 31 October in any given year in order to identify all academic employees
who will have accrued excessive annual leave entitlements as of 1 January the following year.
Notification will be provided to those employees, at which time it will be suggested to the employee
that they lodge an application to take annual leave within the period of December that year and
January the following year.
The Head of Management Unit will, where possible, plan for the leave to be taken at a mutually
convenient time for the employee and the work unit. In the event agreement cannot be reached, the
University may direct the employee to take such leave. In so doing, the Head of Management Unit
will consider the operational needs of the work unit.
If employees who have received the notification above do not lodge an application for leave by 1
February, they will be deemed to be on leave for a period which shall be deducted from the
employee’s accrued annual leave to a maximum of 30 days.
Employees will be able to view their leave balances on Swinburne People Online (“SPO”).
2.4.4
All General staff and TAFE Teachers (Ongoing and Fixed-Term)
Where an employee has in excess of 20 days accrued annual leave, the balance between 20 days
and actual accrual of leave entitlements, must be exhausted in accordance with the following formula.
Leave Balance: Excessive Leave to be taken:
2.4.4.1
20-40 annual leave days
the Head of Management Unit to negotiate a balance of annual leave no greater than 20 days within 6
months of notification to the employee.
2.4.4.2
40 annual leave days
the Head of Management Unit to negotiate a balance of annual leave no greater than 20 days within
12 months of notification to the employee
The above formula takes into account the pro-rata accruals of annual leave throughout the period in
which excessive leave is to be taken. Therefore at the expiration of the two-year period, no employee
will have more than 20 days annual leave accrued.
2.4.5
2.4.5.1
Long Service Leave Entitlement and Leave Management Plan Excessive Accruals
All Academic and General Staff (Ongoing and Fixed-Term)
Entitlement: 13 weeks after 10 years of unbroken service
Where an employee has qualified for long service leave, such leave shall be taken at the employees’
choosing, provided that at least six months’ written notice of their intention, including applicable dates,
is given to the Head of Management Unit. In the absence of six months’ written notice, the Head of
Management Unit may approve an application, subject to the operational needs of the Management
Unit.
Where an employee has accumulated a long service leave entitlement in excess of 18 weeks, the
Head of Management Unit may give the employee written notice to take up to three months of such
leave, at a time convenient to the operational needs of the Management Unit, provided that such
written notice is provided within at least twelve months of the date on which leave must commence.
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Long service leave entitlements will normally be taken in blocks of thirteen weeks or in blocks of not
less than 4 weeks at any one time. Long Service Leave taken at half pay will normally be taken as a
block of not less than 8 weeks.
For general staff in the TAFE Division, this procedure shall be applied in a manner consistent with the
Victorian Government’s policy and practices for dealing with accrued long service leave paid to an
employee on separation.
2.4.5.2
All TAFE Teachers (Ongoing and Fixed-Term)
Entitlement: 13 weeks after 10 years’ service
Long Service Leave may be taken on full pay or the employee may elect to double the period of leave
by taking leave on half pay. In the latter case, the employee may elect to take all or part of the leave
on half pay and the leave will be extended correspondingly.
Long service leave shall be taken at a mutually convenient time for the employee and the work unit,
having due regard to the operational requirements of the work unit.
This procedure shall be applied in a manner consistent with the Victorian Government’s policy and
practices for dealing with accrued long service leave paid to an employee on separation
2.5
Public Holidays
2.5.1
Academic and General Staff
All employees will be entitled to the following public holidays on a paid basis:
•
Christmas Day
•
Boxing Day
•
New Year’s Day
•
Queen's Birthday
•
Australia Day
•
Good Friday
•
Easter Monday
•
Easter Tuesday
•
ANZAC Day
•
Melbourne Cup Day
•
and
•
Labour Day (general staff)
Any additional days declared or prescribed as public holidays in a State, Territory or Locality.
Where Christmas Day, Boxing Day and New Year’s Day fall on weekends, substitute days shall be
given on the next Monday and or Tuesday.
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Please notify a member of the HR Assist team if the online manual requires updating.
38
2.5.1.1
Penalties applicable to general staff required to work on a Public Holiday
A general staff employee required to work on a public holiday will be paid at ordinary rates plus 150%
for the hours worked.
2.5.1.2
Shut down - Christmas / New Year closure
Where the University determines to close its premises during the Christmas/ New Year period on days
which are not public holidays, employees may take annual leave, time-off-in-lieu, accrued rostered
days off, or leave without pay with the prior approval of their manager.
In the event of leave without pay being granted such leave will not result in non-payment for public
holidays. Where sufficient annual leave has not accrued, employees will be given the opportunity to
anticipate necessary credits.
2.5.1.3
Academic Staff – special provision for Labour Day
Labour Day is a normal working day for all academic staff across all campuses of the University.
Holiday penalty payments will not apply for time worked on those days. In exchange, the University
will grant two non-cumulative University holidays to Academic staff employed by Labour Day each
calendar year, which will be taken on the days falling between Christmas Day and New Year's Day,
excluding any Saturday or Sunday or public holiday.
Where such days are not taken between Christmas Day and New Year's Day, an equivalent time will
be granted by the University prior to the next closedown period.
An Academic staff member who was not an employee of the University on Labour Day in any year
shall take annual leave between the following Christmas Day and New Year's Day.
An Academic staff member whose employment ends prior to the Annual Shut Down period shall have
the two non-cumulative days paid out at the ordinary rate of pay..
2.5.1.4
General Staff – special provision for Labour Day
The use of general staff on Labour Day will be minimised. Where a general staff member is required
to work on Labour Day, they will be paid at ordinary rates plus 150% for the hours worked.
2.5.2
VE Teachers
Employees working under the Victorian TAFE Teaching Staff Multi-Business Agreement 2009 shall be
entitled to the following holidays without loss of pay:
•
•
•
•
•
•
New Year's Day
Good Friday
Easter Saturday
Easter Monday
Christmas Day
Boxing Day
and the following days, as prescribed throughout the state of Victoria:
•
•
•
•
•
Australia Day
Anzac Day
Queen’s Birthday
Labour Day
Melbourne Cup Day
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Please notify a member of the HR Assist team if the online manual requires updating.
39
and any other day or days as may be gazetted in addition to or in substitution of any of these days by
proclamation or Act of Parliament.
When Christmas Day is a Saturday or a Sunday, a holiday in lieu thereof shall be observed on 27
December.
When Boxing Day is a Saturday or Sunday, a holiday in lieu thereof shall be observed on 28
December.
When New Year's Day or Australia Day is a Saturday or Sunday, a holiday in lieu thereof shall be
observed on the next Monday.
Subject to the prior approval of the Head of the Management Unit, a rate of 250% of the ordinary
hourly rate shall be paid for each hour of work, including ordinary hours worked outside the span of
ordinary hours and excess teaching hours, performed by any employee on a public holiday
Where a Teacher, by consultation and agreement, has worked on a public holiday the requesting
Manager should complete a T2 form (Timesheet TAFE Teaching Staff Fixed Term/Ongoing)
2.6
Industrial Action
Swinburne aims to have a respectful and collaborative culture that will be demonstrated by the
leadership and at all levels of staff. The employment relationship is underpinned by trust, respect and
open communication. We also seek to build an effective and collaborative relationship with relevant
unions, with the best interests of our community at the core of our relations.
In the event of industrial action by any union or group of staff, it is the intention of management that
Swinburne will continue to provide as close to normal services as is possible to meet the needs of
students.
Staff members are expected to attend to carry out their normal scheduled duties unless they receive
instructions to the contrary from the University. Should any member of staff be unable to perform be
employed in his/her normal duties, his/her supervisor should arrange other appropriate duties.
Should any member of staff be obstructed to meeting their normal place of work due to industrial
action, or secondary actions in support of industrial action, he/she should report to the Security Office
or as near to it as it is practicable and wait there until advised by the Chancellery of further action to
be taken. Staff members should not interpret industrial action, or obstruction of work due to industrial
action as authorisation that they may cease work, or can be absent from the workplace.
In circumstances where a member of staff ceases work due to industrial action, or refuses to work as
directed due to the imposition of work bans, they will not be paid for such time until they recommence
all their duties without restrictions.
2.7
Absence on official business
All members of staff should inform their manager in all cases of absence from the University.
When members of staff are absent from the University on official business, it is expected that their
manager should be aware of this as it affects the operation of the organisation.
For absences of more than one day or trips which extend outside the Melbourne metropolitan area,
Heads of Management Unit and other senior staff should advise, in writing, the person to whom they
report, prior to departure.
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40
A staff member whose attendance at a conference is approved by the relevant Management Unit
Executive or where applicable, Senior Deputy Vice-Chancellor, will be regarded as being on official
business for the duration of the conference, whether or not the staff member has financial support
from the University.
For insurance and WorkCover purposes, it is essential that the Management Unit is notified of any
absence from Swinburne in the form of a memorandum, which should include the dates of absence,
the purpose and the appropriate approving authorisations. Copies of all approvals are to be sent to
HR Assist to be retained on the personnel file.
2.8
Academic staff additional work
All academics at the University have an individual workload allocation as per the current model (refer
to EA section 15). This allocation of work is based on a Management Unit Academic Workload Model.
From time to time, and as an exception, an academic may be required or will request to undertake
additional work. This additional work must fall outside the academics individual workload allocation as
determined by the Management Unit’s workload model.
Additional Work may be required at the university in the following circumstances:
(a) A project
(b) New subjects/courses
(c) Overseas teaching
(d) Summer semester
2.8.1
Home management unit additional work
The work is completed within a staff members Home Management Unit. To be able to ascertain this,
the individual staff member must have a workload allocation that has been determined by the current
management unit workload model. Other terms that are commonly used for this type of additional
work are ‘out of load’ or ‘overload’ work. The rate for additional work of this type is agreed between
the staff member and manager. All home Management Unit additional work shall only be deemed to
have been approved when a standard agreement has been completed.
2.8.2
Cross management unit work
This type of Additional Work occurs when a staff member performs work in a Management Unit other
than their own. Cross Management Unit Work will only be agreed upon if it is outside the staff
member’s individual workload allocation in their Home Management Unit. The rate for Cross
Management Unit Work is agreed between the staff member and manager of the Cross Management
Unit. All Cross Management Unit Additional Work shall only be deemed to have been approved when
a standard agreement has been completed.
Additional work may only be undertaken with consideration of the following:
(a) Additional work may not be undertaken if the Academic work has excessive leave, have not
taken at least 20 days Annual Leave in the previous year and will not have taken their
allocation of four weeks annual leave by the end of the year the Additional Work is to be
completed.
(b) Additional work must be recorded on the staff member’s individual workload allocation before
payment will be made.
(c) Full time staff are not permitted to undertake additional work, that will result in a payment
greater than 25% of their gross annual salary.
(d) Fractional staff will normally have a change of time fraction for any continuous additional
work.
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(e) Only staff that are performing to their Executive Dean’s satisfaction in their current roles will
be permitted to complete additional work.
(f) Executive Deans will need to carefully consider if it is appropriate to ask staff that are
currently completing their Ph.D. to undertake additional work, as it is expected that completion
of a Ph.D. would take priority.
(g) When undertaking summer semester additional work, staff will normally be on annual leave at
the time when additional work is claimed, and an agreement has been authorised.
2.8.3
Agreements for additional work
An agreement for additional work should be in the form of a memorandum, and should cover:
(a)
(b)
(c)
(d)
2.8.4
A description of the work expected to be undertaken
The expected additional work hours and why it is additional to the original workload allocation
Agreed rate for additional work hours
Approval from the Home Management Unit or Cross Management Unit (whichever is
applicable)
Process for claiming additional work
Additional Work can be claimed either through the Payroll System or credited to a University
Extraneous Project Account.
2.8.4.1
Via Payroll System
Any claim for Additional Work must be claimed by using the form: T3 Timesheet Academic Staff Fixed
Term/Ongoing. All forms submitted must be complete, signed by the relevant authorised signatory
and include a copy of the Agreement.
Payment must be claimed within one month of the last week of a semester in which the ‘additional
work’ was performed, or within one month of a projects completion. Payroll claims must not be
deliberately held back to the next financial year as the University will breach Taxation requirements.
2.8.4.2
Extraneous Accounts
Monies earned from additional work/sessional teaching cannot be credited to an extraneous account
without prior approval of the Executive Dean.
Funds earned from additional work and credited into extraneous accounts may be used in accordance
with the Use of Extraneous Funds Policy with proper approval from the Executive Dean. Once money
earned from additional work is credited into an extraneous account, it cannot be paid out (in cash,
cheque or via the payroll system) to a staff member at any stage.
If a staff member leaves employment with the University, the extraneous account monies remain with
the Management Unit, and will not be paid out to an individual.
To action the crediting of monies into an extraneous account, Form must be completed and
authorised and forwarded to the relevant Finance Officer accompanied by a copy of the approved
Additional Work form for processing and filing.
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42
2.9
Higher Duties Allowance – General Staff
An employee who is required to act in a position classified higher than their current role shall be paid
a Higher Duties Allowance (HDA) in accordance with this procedure.
Detailed procedural steps are outlined in the Enterprise Agreement as varied from time to time.
Prior to paying an employee a HDA, the manager should review the Higher Duties Allowance clause
in the Enterprise Agreement
An employee shall not be penalised in any way for a refusal to perform higher duties.
To action a HDA, the manager should complete an 'A3 - Request to Vary Employment' form, at least
two weeks prior to the HDA taking effect, and forward the authorised form to Human Resources.
2.10
Private Vehicle Use
2.10.1 Academic and General Staff
Staff using their privately owned vehicle to undertake required duties at two different locations on the
same day, will be reimbursed for travel between the two locations.
Any vehicle which is subject to a novated or associate lease is not regarded as a privately owned
vehicle for this purpose.
A Travel Claim (Private Vehicle Use) form http://www.swinburne.edu.au/corporate/hr/docs/T8.pdf
must be completed, including the following information:
• employee’s name and details;
• finance 1 cost centre code;
• details of the vehicle used (make, model and registration number);
• date travelled, details of trip, odometer reading in kilometres (start and finish) and total
claimed; and
• indication by checkbox that the vehicle is not subject to a leasing arrangement
The form should then be authorised by the Head of Management Unit or other authorised signatory
and forwarded to the Payroll Office for processing
2.10.2 TAFE Teachers
It is the policy of the Vocational Education Division of the University to provide as far as practicable
University vehicles to support staff in their work related travel between campuses or to other locations
on any given day. It is recognised that teaching staff may have to on occasion use their own private
vehicle to travel between campuses or to other required work locations.
The Manager should, in conjunction with the teacher complete a Work Plan to outline a teacher’s
professional activities for the Semester including teaching duties and will specify the campus and/or
work location upon which teaching will be undertaken on any given day.
The Work Plan will normally be reviewed on a semester basis, unless teaching requirements change
significantly within the semester.
2.10.2.1
Travel not agreed to or documented on the Work Plan
It is recognised that teachers may work at a variety of work locations which are not campus based
and are not known at the time that the Work Plan is developed. These types of arrangements should
be discussed with and approved by the Manager.
2.10.2.2
Reimbursement of Travel
Reimbursement of travel will be approved for travel between campuses or alternative work locations
on the same day.
A teacher is not able to claim the cost of travel between their home and their first place of work on any
given day as that travel is private.
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If a teacher elects to travel to another campus en route to their place of work on any given day, they
are not able to claim the travel from the first location to their place of work unless this has been
authorised by their manager prior to the travel taking place.
Claims for travel reimbursement must be submitted in a timely fashion, and normally within the
fortnight during which travel occurred. All travel undertaken in a calendar year should be claimed in
that year.
Note: Any vehicle which is subject to a novated or associate lease is not regarded as a privately
owned vehicle for the purpose of this policy.
Approvals
As with Academic and General Staff Travel forms for TAFE Teachers should be authorised by the
Head of Management Unit or other authorised signatory and forwarded to the Payroll Office for
processing.
2.11
Secondments
The following employees are eligible to apply for a secondment position:
(a) General and Academic employees who have successfully completed probation;
(b) Staff members with at least 12 months service; and
Employees who have completed a secondment, must return to their substantive position for 24
months before undertaking a further secondment. An executive group member may waive this
service requirement.
2.11.1 Secondment process
Employees may have the opportunity to be seconded from their usual position (substantive position)
to undertake a new role (concurrent position) for a fixed period of time not normally exceeding 12
months. At the end of the concurrent position, the employee returns to their usual position.
The Hiring Manager must first establish that they have a short term vacancy in their area.
Requests for secondments between management units should be actioned using the A2 – “Request
to Appoint” form. The A2 – “Request to Appoint” form should be signed by two levels of management
within the Hiring Unit and by the Head of the Management Unit relinquishing the secondee (the
Relinquishing Unit).
Whether the secondment opportunity is advertised or the Hiring Manager intends to make a direct
offer of secondment to an employee, the Hiring Manager should first negotiate the release of the
employee with the Head of the Relinquishing Unit prior to making an offer of secondment to the
employee.
Should an extension of the secondment be sought and approved beyond 12 months, and the
secondment opportunity was not advertised, the role will need to be advertised as per the
Appointments Policy.
Whilst Swinburne encourages employees to undertake development opportunities, the Head of the
Relinquishing Unit should firstly consider the operational requirements of the unit prior to approving
the release of an employee.
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Secondments must be for a specified period, usually not more than one year. The period of the
secondment will not normally be reduced, and can only be reduced by agreement of all parties.
NOTE: Superannuation arrangements may vary according to factors such as the length and level of
the secondment, the secondee’s superannuation fund etc.
Probation provisions do not apply to internal secondment arrangements.
2.11.2 Incremental advancement
Normal incremental advancement within salary classifications shall continue during periods of
secondment. For the secondment position, the incremental advancement date will be the date of
commencement of the secondment.
2.11.3 Leave
Annual leave accrued during the period of the secondment should be taken during the period. If no
annual leave is taken during this period, the liability for accrued leave will be transferred to the
Relinquishing Unit.
Any time-in-lieu owing to the staff member (general staff only) should be taken prior to the
secondment. Any time-in-lieu accrued during the secondment should similarly be taken prior to the
expiration of the secondment. Any time-in-lieu accrued and not taken during this period will be paid
out at the expiry of the secondment at the applicable overtime rate.
2.12
Staff Consultancy
The Head of the Management Unit shall individually negotiate allocation of time with interested staff
members to be spent on University and/or Community Service consulting work annually during hours
of employment. The negotiation shall take into consideration the staff member’s responsibilities and
hours of employment. Any staff member who wishes to make variations to this allocation during the
year or take on additional University or Community Service Consulting work out of hours, shall apply
to the Head of the Management Unit.
Consultancy work may only be undertaken with consideration of the following:
•
•
•
•
On average, no more than 1 day per week can be allocated.
Staff performing satisfactorily
Executive Deans will consider if it is appropriate to ask staff that are currently completing
their Ph.D. to undertake consulting work, as it is expected that completion of a Ph.D. would
take priority.
No staff member may undertake Consulting work if they have an excessive annual leave
balance, as defined in the Leave Management Policy and Procedure.
University consultancy is to be contracted with the external party through the University. This applies
to all University-based consultancy with the exception only of Community Service Consultancy as set
out below.
Where a Staff member is employed in a consulting role, the policies and procedures of the relevant
Management Unit apply.
Except as provided for above, all University consultancy at or over the value of $2,000 shall be
deemed to be approved only when a standard agreement has been completed including all of the
following:
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(a) Brief description of the Consultancy activities;
(b) Details of external parties to which services are provided;
(c) Financial information including costing (with demonstration of full cost recovery) and
pricing details, in accordance with the Collection of University Overheads Policy;
(d) Description of performance, management and quality control provisions;
(e) A declaration that the contract is authorised by the University Solicitor;
(f) A declaration that the amount of time taken up by the Staff Member(s) concerned does not
exceed the allocation for University and community service consulting currently agreed with
the Head of the Management Unit for the Staff member(s) in accordance with Section 3.1.2,
and that the staff member(s) is/are able to satisfactorily complete the consulting work.
(g) Signatures of the Staff Member(s) and the Head of the Management Unit.
All University consultancy contracts will include provisions with respect to performance, management,
quality control and cost.
All Management Units are to maintain a register of external consultancy contracts, and original copies
of contracts are to be sent to Records Management Services. Basic details of University
consultancies under the value of $2,000 shall also be recorded by local areas.
The University, through the Internal Audit and Risk Management team within the Governance and
Assurance Unit, will undertake audits of financial cost centres to ensure compliance with this
procedure.
Community Service Consultancy is to be contracted directly through the University under the
following conditions and protocols:
Community Service Consultancy at or over the value of $2,000 shall be deemed approved when a
brief standard agreement (copies available from the Head of the Management Unit) has been
completed including the following:
(a) Brief description of the Consultancy activities;
(b) Details of external parties to which services are being provided;
(c) Financial information including costing and pricing details (with demonstration of full cost
recovery in accordance with the Collection of University Overheads Policy, or alternatively a
statement of the public good or corporate citizenship benefits which justify less than full cost
recovery);
(d) Description of performance, management and quality control provisions;
(e) A declaration that the contract is authorised by the University Solicitor;
(f) A declaration that the amount of time committed by the staff Member(s) concerned does
not exceed the allocation for University and community service consulting agreed with the
Head of the Management Unit for the staff member(s), and that the staff member(s) is/are
able to satisfactorily complete the consultancy.
(g) Authorisation signatures of the staff Member(s) and the Head of the Management Unit.
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The following activities are specifically exempt from the requirement to fill out and sign the standard
consultancy agreement:
•
•
•
•
•
•
examination of theses or other external examination activities,
assessment of staff classification or promotion,
attending meetings, writing or publishing conventional scholarly works in the staff member’s
field of expertise (such as books, chapters, articles, reviews, editing),
newspaper articles, speaking engagements,
exhibitions performances, or
occasional teaching at another tertiary institution.
In these cases, notification to the Head of the Management Unit (in an annual report, for example)
will suffice. Exemption of other activities may be approved from time to time by the ViceChancellor, on the advice of the relevant DVC, VP or PVC, and the new exemptions will update
this procedure.
The standard ratio of revenue splitting is 70:15:15 (Staff member: Faculty:University). Revenue is
explicitly defined as Net Profit after deduction of all costs, including salary costs of other staff
members associated with the satisfactory completion of consultancy work, and the Infrastructure
Overhead Contribution which will normally be 15% of gross revenue.
For example: An Academic Staff member received permission to engage in University consultancy
following the demonstration of full cost recovery and completion of a standard agreement. In
accordance with the approved plan, at the end of 12 months of working on the project a software
package was sold for $500,000. To complete the project however the Academic required the services
of two staff members at a total cost of $50,000 per person.
Therefore, the GROSS revenue for the project is $500,000, however the Net Profit would be:
$500,000 - $100,000 (salary) - $75,000 (15% Infrastructure) = $325,000
and the revenue split would be:
$227,000 Staff member : $49,000 department : $49,000 University
Staff are not always entitled to a share of the revenue – this only occurs when the Consultancy is
outside the staff member’s individual workload allocation.
Monies earned from consulting work cannot be credited to an extraneous account without prior
approval of the Head of Management Unit.
These accounts include personal accounts, and thus no staff member has a personal claim over
funds in extraneous accounts.
Funds earned from consultancy and credited into extraneous accounts must be used in accordance
with the Use of Extraneous Funds Policy with proper approval from the Head of Management Unit.
Once money earned from consultancy is credited into an extraneous account, it cannot be paid out (in
cash, cheque or via the payroll system) to a staff member.
If a staff member leaves employment with the University, the extraneous account monies remain with
the Management Unit, and will not be paid out to an individual.
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To action the crediting of monies into an extraneous account, a Credit Extraneous Account form must
be completed and authorised and forwarded to the relevant Finance Officer accompanied by a copy
of the approved Consultancy form for processing and filing.
Private consultancy may be undertaken by a Staff Member only in circumstances where it will not
establish a real or potential conflict of interest or will not be contrary to the best interests of the
University.
Private Consultancy includes Directorships and Partnerships. Staff members must notify the
University of all consultancies under this category (noting that some conditions may be waived) prior
to entering into a partnership, accepting the Directorship of a company, or being involved in the affairs
of a Trust for purposes of engaging in Consultancy, other than family affairs and not-for-profit
charitable companies. Activities such as Staff members serving on the Board of a Government
Agency or equivalent are considered Community Service Consultancy.
Staff members are prohibited from charging for academic services provided to students enrolled at
the University.
Private consultancies are only permitted where the staff member notifies the Head of the
Management Unit, via a standard pro-forma, that the following conditions apply:
(a)
The time devoted to the Private consultancy will not derogate from the Staff
member’s ability to satisfactorily perform the Staff member’s normal duties of
employment and be available for University work during the accepted hours of work,
in accordance with the Staff member’s contract of employment and current
agreement on workload with the Head of the Management Unit.
(b)
No University facilities (including power, space, and equipment) students or services
are to be used. Otherwise the Head of the Management Unit must be satisfied that
the use of such facilities or services will be undertaken on the basis of full cost
recovery under the terms of a written agreement between the Staff member, the
Director, Finance and the Head of the Management Unit representing the University.
(c)
The Staff member has professional indemnity insurance (with appropriate
documentary evidence presented annually) covering all potential damage or loss
sustained as the result of negligence carried out in the course of performing services
in relation to the proposed Private Consultancy. Specific attention should be given to
ensuring that the insurance coverage is adequate if the consultancy is to be delivered
outside Australia (especially USA and Canada).
(d)
The proposed Consultancy is not competing with services otherwise provided by the
University nor within an area that would normally offered by the University on a
commercial basis.
(e)
No University letterhead, trademark, stationery, business card, postal address, phone
number, fax number, e-mail address or Web address is to be used, nor any other
reference to the University name, or the staff member’s University designation, or
information which might associate the University with the Private consultancy in any
way.
(f)
The University is expressly and specifically dissociated from the Private consultancy
by providing that the standard clauses set out in Attachment D of this procedure are
inserted into any written Private consultancy contract with the external client. The
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University reserves the right to obtain evidence of compliance with this provision if it
deems it necessary.
The Head of the Management Unit reserves the right to intervene if there is reason to believe that the
above conditions might not apply.
Non-Compliance
In the event of non-compliance with the directives of this procedure, Staff members will be subject to
the misconduct procedure set out in the University disciplinary procedures, Section 7 of this
document.
Determination of Disputes
In the event of any dispute between the University and a Staff member relating to Consultancy, such
dispute is to be referred for review to the relevant DVC, VP or PVC as appropriate. If the dispute is
not resolved by the review, it should be referred to and finally determined by a Consultancy Appeals
Committee comprising the relevant DVC, VP or PVC as appropriate, Director, Human Resources or
nominee, and one representative from either the National Tertiary Education Union, the Construction,
Forestry, Mining, Energy Union, the Communications, Electrical, Energy, Information, Postal,
Plumbing and Allied Services Union of Australia (Electrical and Plumbing Divisions, Victoria), the
National Union of Workers, the Australian Liquor, Hospitality & Miscellaneous Workers Union, the
Australian Manufacturing Workers Union or other appropriate representative body. Application should
be made directly to the relevant DVC, VP or PVC as appropriate.
Each unit shall report on the nature and extent of consultancy work notified by staff in all categories
(University, Community and Private Consultancy) as part of the University’s annual performance
reporting process.
2.13
Staff Overpayment and Debt Recovery
Recovering overpayments
After identifying a staff overpayment the following procedure needs to be followed.
Payroll actions a letter to the overpaid staff member explaining the occurrence of the overpayment,
stating the amount to be repaid and informs the staff member of the repayment options.
Staff are given the following repayment options:
(a)
(b)
(c)
Repay directly from fortnightly salary in which an amount is to be agreed upon by the
staff member and the Manager, Payroll Systems and Services
Repay the full amount via EFT bank transfer into Swinburne’s operating bank
account. Details of this to be stipulated on the overpayment letter.
Repay the full amount via cheque. Details of this to be stipulated on the overpayment
letter.
If repayment is not received within 14 days or alternative arrangements have not been made, a
second letter is sent to the staff member demanding repayment within a further 14 days noting that
failure to comply will result in the matter being referred to a debt collection agency.
If no payment is received after the second letter, the matter is referred to Accounts Receivable,
Finance Department, where the details are forwarded to a debt collection agency for full recovery.
Note, the overpaid staff member will also be charged for any incurred recovery costs.
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49
In the event that a staff member ceases employment while repaying an overpayment debt, the
balance will be recovered from the employee’s termination payment if applicable, or will be asked to
repay the balance in total by their termination date.
Should the debt collection agency deem a debt to be non-recoverable, they are to advise the
University in writing outlining the measures taken to recover the debt. All debts deemed to be nonrecoverable, will be assessed for approval as per the University’s Delegation Policy. The impact of
write-offs will be reflected in Divisional specific write-off accounts, and the Division will provide details
with the correct account code to the write-off.
2.14
Termination of Employment on Grounds of Ill Health –
Academic Staff
Detailed procedural steps relating to the termination of employment on the grounds of ill health for
Academic staff are outlined in Section 59 of the Enterprise Agreement as varied from time to time.
2.15
Redeployment, Retraining and Redundancy
2.15.1 Academic and General Staff
An overview of the Redeployment, Retraining and Redundancy process is outlined below. Detailed
procedural steps are outlined in the Enterprise Agreement as varied from time to time. Prior to
commencing a redeployment, retraining or redundancy process, the manager should review the
Redeployment, Retraining and Redundancy clause in the Enterprise Agreement.
2.15.1.1.1
Overview of Process – General Staff
(i) Arrange for affected employees to review their position description
(ii) Translate employees whose positions have not substantially changed directly into positions in
the new structure.
(iii) Negotiate time fraction changes with translated employees (where time fractions in the new
structure are different)
(iv) Directly redeploy employees to a position at the same level or lower level in the University
when there are no other employees similarly suitably qualified at the same level or a lower
level
(v) Transfer the employee to another suitable position in the University at the same level; or
(vi) Transfer the employee to another position at a lower level with salary maintenance for a
period not exceeding two years from the date of redeployment.
2.15.1.1.2
Redundancy – General Staff
In the event that the employee’s employment is terminated on the grounds of redundancy, the
Employee must not apply for employment, or arrange to be employed or engaged, whether directly or
indirectly, by the University for a period of two years from the date of termination.
A hiring manager must not knowingly employ, or arrange to employ or engage, whether directly or
indirectly, an Employee whose employment was terminated on the grounds of redundancy for a
period of two years from the date of termination.
2.15.1.1.3
Redundancy – Academic Staff
In the event that the employee’s employment is terminated on the grounds of redundancy, the
employee elects early separation, the employee must not apply for employment, or arrange to be
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employed or engaged, whether directly or indirectly, by the University for a period of two years from
the date of termination.
A hiring manager must not knowingly employ, or arrange to employ or engage, whether directly or
indirectly, an Employee whose employment was terminated on the grounds of redundancy for a
period of two years from the date of termination.
2.15.1.1.4
Redeployment
Where the process has been exhausted and an employee has not been directly translated or
redeployed to a position in the new structure, he/she will be placed on a redeployment register and be
considered for other suitable vacancies elsewhere within the University.
In determining the qualification of individual employee to perform the functions of positions in the new
structure, the heads of management units will base their decisions on the objective matching of
experience, knowledge, skills and formal qualifications of those employees directly affected by the
restructuring against the selection criteria of the position documentation of available positions in the
new structure. Resumes may be requested to assist with this process.
Employees in receipt of higher duties allowance will translate into the new structure in accordance
with their substantive classification as determined during the review. Higher duties allowance will then
be reviewed in light of organisational needs. Where a staff member has been in receipt of a higher
duties allowance for a continuous period in excess of 12 months, that staff member shall be entitled to
6 months maintenance of the higher duties allowance that was paid immediately prior to the change
taking effect.
2.15.1.1.5
Redundancy – General staff
Detailed procedural steps are outlined in the Enterprise Agreement as varied from time to time. Prior
to commencing a redundancy process, the manager should review the Redundancy clause in the
Enterprise Agreement.
Where the University decides that a situation of redundancy has occurred or is likely to occur affecting
general staff, the University shall immediately provide all relevant details and arrange discussions with
the affected employees and, if they choose, their representatives.
The employee will be entitled to a period of notice as set out in the Enterprise Agreement.
The employee will be entitled to leave and expenses as set out in the Enterprise Agreement to seek
employment.
If at the expiration of the period of notice an employee cannot be placed in other suitable employment
or training for such alternative employment cannot be arranged, the employee may be transferred to a
lower salary position or terminated.
2.15.1.1.6
Severance Benefits – Salary Maintenance
Income maintenance payments are set out in the Provision of Salary Maintenance – Terminated
Employee clause in the Enterprise Agreement as varied from time to time.
2.15.1.1.7
Redundancy – Academic Staff
Detailed procedural steps are outlined in the Enterprise Agreement as varied from time to time. Prior
to commencing a redundancy process, the manager should review the Redundancy clause in the
Enterprise Agreement.
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51
Where the University makes a decision to terminate the employment of one or more academic staff
for reasons of an economic, technological, structural or similar nature the University shall notify the
affected staff member/s, and where they choose, their representative/s.
The University shall consult with the employee on measures to avert the termination or avert or
minimise the terminations and, measures to mitigate the adverse effects of the termination or
terminations.
Measures may include: redeployment, secondments or offers of a voluntary separation package.
An academic employee may seek redeployment or may elect early separation, in which case the
academic staff member will receive payments in accordance with the Enterprise Agreement as varied
from time to time.
2.15.1.1.8
Notice of Redundancy – Academic Staff
The University will provide notice in accordance with the Enterprise Agreement as varied from time to
time
2.15.1.1.9
Separation Benefits
Separation Benefits for Academic employees are set out in the Separation Benefits clause in the
Enterprise Agreement as varied from time to time.
The academic employee will be entitled to leave and relocation expenses as set out in the Enterprise
Agreement to seek employment.
These provisions shall not apply to casual academic staff.
2.15.2 TAFE Teachers
Where employees are identified as Surplus to the Institute’s requirements, they will be subject to the
provisions set out in Clause 22 of the Victorian TAFE Teaching Staff Multi-Business Agreement 2009
and in accordance with the following procedure.
2.15.2.1
Redeployment
The staff member has to be surplus to the existing work unit either through business restructuring,
change in the demand or priority of the teaching program(s) delivered by the teacher, or change in
business direction and the position is no longer required either in part or in total. The head of
management unit is responsible for the determination of staff requirements and is authorised to
declare any position redundant that is not required.
In circumstances where a reduction of teaching staff numbers is required across a discipline area of a
department, the head of management unit must determine and implement a process to determine the
staff member/s to be declared surplus. The head of management unit should determine a process in
consultation with the employees and the Director Human Resources and notify the Australian
Education Union. Any process developed should give consideration to:
(a) teaching qualifications with a preference for teachers who are “fully qualified” as defined.
(b) vocational qualifications as required for the teaching programs to be offered by the unit.
(c) experience in workplace delivery, blended delivery, apprenticeships and traineeships, and
any other specific requirements of the teaching area.
(d) demonstrated flexibility in adapting to changes in demand or delivery methods.
(e) possession of the necessary Information Communication Technology skills deemed
necessary for teachers in that discipline area.
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The Head of Management Unit will consult with the staff member and advise the affected staff
member/s that the position/s are to be abolished and as a consequence the staff member is surplus to
the work unit's needs. The relevant union will be notified, in writing after the staff member has been
informed.
The head of management unit will notify the Human Resources Department of any redeployees, who
will be placed on a redeployment register.
The affected staff member will be contacted by a Human Resources Consultant who will:
•
•
•
assist in the preparation of an up to date resume from the affected employee
check employment details with the employee
confirm details for the Redeployment Register
All suitable vacant positions as defined, will be notified to the affected employees in writing requesting
their consideration of the position and inviting their application. Redeployees will, in all instances, be
given first preference to suitable vacant positions, but must express their application in writing and will
be subject to University selection processes. Redeployees will not be automatically placed in vacant
positions without due regard to University selection procedures.
Redeployees who accept an offer of a position at a lower classification than their substantive position
will have their salary maintained for a period of 12 months.
2.15.2.2
Criteria
Redeployees will be eligible to apply and will be invited to apply for suitable positions for a period of
20 weeks or such other period as is considered reasonable by the Deputy Vice-Chancellor and
Director TAFE having regard to the time of the academic year in which redeployment is occurring, the
likelihood of a suitable position becoming available, and the possibility of successful retraining. In the
event no suitable placement has been made, the employee will be declared surplus to University
requirements and retrenched. (Retrenchment procedures are detailed below)
Retraining of the redeployee will be considered if such an option is viable. Such retraining will be
geared and developed in order to assist the employee seek alternative suitable employment
throughout the redeployment period. (Retraining procedures are detailed below)
Where a surplus employee applies for a position and does not immediately meet all the selection
criteria (other than mandatory criteria) of the position, consideration will be given to the employee's
skills and the provision of appropriate staff development and training (either on or off the job). The
selection committee will make this consideration giving priority to redeployees before the candidates
and will discuss appropriate staff development and training measures with the redeployee.
Where both parties agree, (that is the selection committee and the redeployee), that the employee will
be able to satisfactorily perform the tasks and functions of the position with appropriate training and
support, then such employee will be offered the position on this basis and that confirmation into the
position will not occur until the conclusion of the training and support program. The duration of
training and support program will be negotiated with each redeployee prior to the redeployment
proceeding. The retraining program will be focussed on enabling the incumbent to take on the full
range of the duties for the position within the stipulated timeframe.
The training program will be reviewed every four weeks until its scheduled conclusion.
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2.15.2.3
Training Costs
The recipient work unit may negotiate the costs of the training and development accrued during the
training and support program with the head of the relinquishing management unit. In such
circumstances, the relinquishing management unit will be required to pay costs up to the maximum of
$1000.
Time release for teachers undertaking retraining will be provided from the hours allocated for
responsibilities other than teaching to assist them in successfully completing the retraining.
2.15.2.4
Redundancy
This provision may only be invoked when the redeployment and retraining opportunities have been
exhausted and have been deemed unsuccessful by the Head of Management Unit, or redeployment
of the affected employee into a suitable vacancy has not been secured within the redeployment
period.
Prior to invoking this provision the head of management unit will consult with the Deputy ViceChancellor and Director TAFE and clearly demonstrate that redeployment and retraining of the
affected employee has not been secured or successful.
The head of management unit is required to consult with the union over the decision to declare a
position redundant and to advise the union in writing of the management decision. The employee is
to be advised in person of the decision and is entitled to have a support person, who may be a union
representative present.
2.15.2.5
Election to Retrench
An employee who has received advice that s/he is to be nominated to the redeployment register as a
surplus employee may with the approval of the University elect to be terminated and receive notice
and termination payments in accordance with this procedure.
An employee who is to be involuntarily retrenched from the University's employ, shall be entitled to
the following:
(a) four weeks’ notice, to be either worked out or paid in lieu. This arrangement will be mutually
agreed to between the head of management unit and the affected employee. If the employee
is over 45 years of age and has completed at least 2 years of continuous service then the
notice period is increased by 1 week.
2.15.2.6
Severance Pay
Two weeks’ pay per year of continuous service up to a maximum of 10 years
Australian Taxation Office concessional taxation rates apply.
NB - If the employee is under the age of 55 and a member of the revised or new scheme State
Government Superannuation Fund a retrenchment benefit will apply for superannuation purposes.
2.16
Resignation and retirement
Employees must provide to their Manager notice in writing of their intention to resign or retire for the
following periods:
(a) General staff - 4 weeks’ notice
(b) Academic staff - 3 months’ notice
(c) TAFE Teaching staff – 4 weeks’ notice
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A manager and employee may negotiate a shorter notice period in exceptional circumstances.
Employees over the age of 55 will need to advise Human Resources in writing of their intention to
retire, otherwise this will normally be considered as a resignation.
The manager must forward a copy of the employee’s written statement of intention to resign or retire,
to HR Assist [email protected].
Managers and employees should review the information on our Leaving Swinburne webpage which
will provide a guide of things to do before the employee’s last day:
http://www.swinburne.edu.au/corporate/hr/swin/LeavingSwin.htm
2.17
Working from Home (WFH)
A written request to work from home may be made by a staff member to his/her manager.
Applications relating to WFH will be considered on a case by case basis.
All agreements are subject to operational requirements being met including an assessment of the
effect of the proposal on the individual and the team as a whole.
The WFH agreement will be formally reviewed every twelve (12) months.
The employee working from home must designate a discrete work area, (i.e. a separate, identified
area in the home where all work is to be performed).
A written WFH agreement must be signed by both the manager and the employee prior to the
commencement of the arrangement.
Before approving a WFH arrangement, the employee and the Head of Management Unit must agree
and document all matters, including any variation to the terms and conditions of employment that may
apply during the period of the WFH arrangement.
The WFH arrangement must include a clear statement of the duties and expected outcomes to be
achieved by the employee whilst working from home.
Employees performing duties of a position which has at least one of the following characteristics will
not be considered appropriate for a WFH agreement:
(a)
(b)
(c)
(d)
the position requires a high degree of supervision;
the position requires direct client face to face contact;
the position has little control over the flow of work;
the position requires a high volume of files and resources located at the University being
transported to and from home (e.g. archive box or greater)
(e) Specific inherent requirements of the position cannot be completed whilst working from home.
Terms and conditions of employment that apply in a WFH arrangement shall reflect the industrial
award, certified agreement or individual agreement that was prevailing immediately prior to the
commencement of the working from home agreement, or terms and conditions as negotiated between
the University and the employee.
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Unless otherwise agreed, a WFH arrangement will be entered into on the basis that the employee
spends at least one-fifth of his/her usual weekly hours of duty (0.2 EFT) at the University premises to
allow for communication and information-sharing on a regular basis.
A record of the hours of work at the home-based worksite must be maintained by the staff member in
an agreed format and will be monitored at the manager’s discretion. These hours will be within the
staff member’s normal span of hours.
An employee in a WFH arrangement is specifically prohibited from assigning and/or contracting out
his/her work.
The Head of Management Unit shall ensure employees working within a WFH arrangement have the
same opportunities for career development and training as University-based employees.
Material prepared or generated under the WFH arrangement in the course of paid University
employment is the property of the University as set out in accordance with
the University’s
Intellectual Property Policy.
The parties acknowledge that the University may, from time to time, need to obtain access to a WFH
site. The parties shall agree on a period of notice of intention of the designated University
representative to inspect the WFH site and shall give a minimum of 24 hours notice to the employee
concerned.
The purposes for which the University may require access to a WFH site are;
(a) maintenance of University-provided equipment, and
(b) occupational health and safety inspection.
2.17.1 Cancellation or Variation of Agreement
Where the University considers the WFH arrangement to be no longer workable, the WFH agreement
may be terminated by the Head of Management Unit after having given the other party to the
agreement seven days notice.
The arrangement may be terminated by the employee having given the other party to the agreement
seven days notice.
In these circumstances, the employee shall return to the previous employment arrangements that
were in place prior
to the commencement of the WFH arrangement.
2.17.2 Occupational Health and Safety / Workcover for WFH Arrangement
Before a WFH agreement commences, the Head of Management Unit must ensure that the proposed
work area complies with the occupational health and safety requirements of the University at all times.
This will be determined by means of checklist completed and signed by the staff member and
attached to the WFH Agreement.
In cases, where the requirement to work from home is due to a non compensable medical condition,
then it may be appropriate for the Head of Management Unit to engage an external contractor to
undertake a worksite assessment to ensure that any specific requirements are met.
The employee will be responsible for any cost associated with the provision of a safe designated
workspace.
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Should an employee suffer from a personal injury whilst working from home, the incident must be
reported to the Head of Management Unit and OHS Consultant within 24 hrs (in accordance with the
University’s Incident Hazard Reporting and Control process.
WFH is not to be used as an alternative to, or in conjunction with a return to work plan.
2.17.3 Supporting documentation
Working from Home Agreement Form
Working from Home Worksite Inspection Form
2.18
Process for Requesting Flexible Working Arrangements
a) Employee prepares and submits a request for flexible work arrangements to their line
manager.
b) The request must be in writing and set out details of the change sought and the reasons for
the change. It is important that the request includes detailed information to help the manager
to assess the request. If you would like to make a request, please use the Flexible Work
Arrangements- Employee Information and Request Form.
c) Employee organises a meeting with their line manager to have a discussion about their
preference for a change to their work arrangements.
d) Manager considers and assesses the request and contacts HR Assist on Ph: 9214 8600 to
discuss.
e) The manager will need to consider the individuals request on its merits, with consideration
given to the employee’s personal circumstances, in addition to operational and business
requirements. Please refer to Flexible Work Arrangement- Consideration for Managers
f)
The manager should consult with their manager/head of the department to ensure other
impacts or business needs have been considered.
g) Manager contacts HR Assist on Ph: 9214 8600 to discuss the request in further detail,
considerations and possible flexible arrangements.
h) Manager meets with their employee to discuss the request and provides the response. For
requests that meet the National Employment Standards definitions, these need to be
responded to in writing and within 21 days of receiving the request.
i)
If a request is denied, HR will assist Managers in drafting and reviewing this response. If
suggesting an alternative or declining the request, the response needs to provide the reasons
why the request is not being granted. Please contact HR assist to ensure you discuss and
respond appropriately.
j)
If a request is approved, the manager completes an A3 Form - Request to vary employment.
Flexible working arrangements will automatically cease at the date specified on the A3 or can
be terminated by the employee or the University with reasonable notice.
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57
3
POSITIONS, PROGRESSION, PERFORMANCE
3.1
Position Classification Standards – General Staff
These are the Classification descriptors for Higher Education workers.
3.1.1
HIGHER EDUCATION WORKER LEVEL 1
Training level or qualifications
Employees at the base of this level would not be required to have formal qualifications or work
experience upon engagement.
Employees engaged at the base of this level will be provided with structured on the job training in
addition to up to 38 hours of induction to the higher education industry which shall provide information
on the higher education institution, conditions of employment, training to be made available and
consequent career path opportunities, physical layout of the institution/work areas, introduction to
fellow workers and supervisors, work and documentation procedures, occupational health and safety,
equal employment opportunity practices and extended basic literacy and numeracy skills training
where required/necessary to enable career path progression.
Occupational equivalent
Cleaner, Labourer, Trainee for Level 2 duties.
Level of supervision
Close supervision or, in the case of more experienced staff working alone, routine supervision.
Task level
Straightforward manual duties, or elements of Level 2 duties under close supervision and structured
on the job training.
Some knowledge of materials, e.g. cleaning chemicals and hand tools, may be required.
Established procedures exist.
Organisational knowledge
May provide straightforward information to others on building or service locations.
Judgement, independence and problem solving
Resolve problems where alternatives for the jobholder are limited and the required action is clear or
can be readily referred to higher levels.
Typical activities
Perform a range of industrial cleaning tasks, move furniture, assist trades personnel with manual
duties.
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3.1.2
HIGHER EDUCATION WORKER LEVEL 2
Training level or qualifications
Persons employed at Level 2 shall typically perform duties at a skill level which assumes and requires
knowledge, training or experience relevant to the duties to be performed, or completion of year 12
without work experience or an equivalent combination of experience and training.
Occupational equivalent
Clerk, Security Patrol Officer.
Level of supervision
Routine supervision of straightforward tasks; close supervision of more complex tasks (see below).
Task level
Perform a range of straightforward tasks where procedures are clearly established. May on occasion
perform more complex tasks.
Organisational knowledge
Following training, may provide general information/advice and assistance to members of the public,
students and other staff which is based on a broad knowledge of the employee’s work
area/responsibility, including knowledge of the functions carried out and the location and availability of
particular personnel and services.
Judgement, independence and problem solving
Solve relatively simple problems with reference to established techniques and practices. Will
sometimes choose between a range of straightforward alternatives.
An employee at this level will be expected to perform a combination of various routine tasks where the
daily work routine will allow the latitude to rearrange some work sequences, provided the prearranged
work priorities are achieved.
Typical activities
Clerical positions at this level may include duties involving the inward and outward movement of mail,
keeping, copying, maintaining and retrieving records, straightforward data entry and retrieval.
Security Officers may be involved in a range of patrol duties, including responding to alarms, following
emergency procedures and preparing incident reports.
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3.1.3
HIGHER EDUCATION WORKER LEVEL 3
Training level or qualifications
Persons employed at Level 3 shall typically perform duties at a skill level which assumes and requires
knowledge or training in clerical/administrative, trades or technical functions equivalent to:
•
•
•
completion of a trades certificate; or
completion of year 12, with relevant work experience; or
equivalent relevant experience or combination of relevant experience and education/training.
Persons advancing through this level may typically perform duties, which require further on the job
training or knowledge and training equivalent to progress toward completion of an advanced
certificate or associate diploma.
Occupational equivalent
Tradesperson, technical assistant/technical trainee, clerical/ secretarial.
Level Of supervision
In technical positions, routine supervision, moving to general direction with experience. In other
positions, general direction. This is the first level where supervision of other staff may be required.
Task level
Some complexity. Apply body of knowledge equivalent to trade certificate, including diagnostic skills
and assessment of the best approach to a given task.
Organisational knowledge
Perform tasks/assignments, which require knowledge of the work area processes and an
understanding of how they interact with other related areas and processes.
Judgement, independence and problem solving
Exercise judgement on work methods and task sequence within specified timelines and standard
practices and procedures.
Typical activities
In trades positions, apply the skills taught in a trade certificate including performance of a range of
construction, maintenance and repair tasks, using precision hand and power tools and equipment. In
some cases this will involve familiarity with the work of other trades or require further training.
In technical assistant positions:
•
•
•
•
•
assist a technical officer in operating a laboratory, including ordering supplies
assist in setting up routine experiments
monitor experiments for report to a technical officer
assist with the preparation of specimens
assist with the feeding and care of animals
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Staff would be expected to perform a greater range and complexity of tasks as they progressed
through the level and obtained further training.
In clerical positions, perform a range of clerical support tasks including:
•
•
•
standard use of a word processing package (including store and retrieve documents, key and
lay out correspondence and reports, merge, move and copy, use of columns, tables and basic
graphics) or an established spreadsheet or database application.
provide general clerical support to staff within a faculty, including word processing, setting up
meetings, answering straightforward inquiries and directing others to the appropriate
personnel.
process accounts for payment.
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3.1.4
HIGHER EDUCATION WORKERS LEVEL 4
Training level or qualification
Persons employed at Level 4 shall typically perform duties at a skill level which assumes and requires
knowledge or training equivalent to:
•
•
•
completion of an associate diploma level qualification with relevant work related experience or
a certificate level qualification with post-certificate relevant work experience;
completion of a post-trades certificate or advanced certificate and extensive relevant
experience and on the job training; or
an equivalent combination of relevant experience and/or education/training.
Occupational equivalent
Technical officer or technician, clerical/secretarial above Level 3, advanced tradesperson.
Level Of supervision
In technical positions, routine supervision to general direction depending upon experience and the
complexity of the tasks. In other positions, general direction.
May supervise or co-ordinate others to achieve objectives, including liaison with staff at higher levels.
May undertake stand-alone work.
Task level
May undertake limited creative, planning or design functions; apply skills to a varied range of different
tasks.
Organisational knowledge
Perform tasks/assignments which require proficiency in the work area’s rules, regulations, processes
and techniques, and how they interact with other related functions.
Judgement, independence and problem solving
In trades positions, extensive diagnostic skills. In technical positions, apply theoretical knowledge and
techniques to a range of procedures and tasks. In clerical/secretarial positions, provide factual advice
which requires proficiency in the work area’s rules and regulations, procedures requiring expertise in
a specialist area or broad knowledge of a range of personnel and functions.
Typical activities
In trades positions:
•
•
work on complex engineering or interconnected electrical circuits
exercise high precision trades skills using various materials and/or specialised techniques.
In technical positions:
•
develop new equipment to criteria developed and specified by others
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•
•
under routine direction, assist in the conduct of major experiments and research programs
and/or in setting up complex or unusual equipment for a range of experiments and
demonstrations
demonstrate the use of equipment and prepare reports of technical nature as directed.
In library technician positions;
•
•
•
•
undertake copy cataloguing
use a range of bibliographic databases
undertake acquisitions
respond to reference inquiries.
In clerical/secretarial positions:
•
•
•
•
may undertake a full range of word processing functions, including mathematical formulae
and symbols, manipulation of text and layout in desktop publishing software and use of a
range of word processing packages if required
be responsible for providing a full range of secretarial services in a faculty
plan and set up spreadsheets or data base applications
provide advice to students on enrolment procedures and requirements, administer enrolment
and course progression records.
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3.1.5
HIGHER EDUCATION WORKERS LEVEL 5
Training level or qualifications
Persons employed at Level 5 shall typically perform duties at a skill level which assumes and requires
knowledge or training equivalent to:
•
•
•
•
completion of a degree without subsequent relevant work experience; or
completion of an associate diploma and at least 2 years subsequent relevant work
experience; or
completion of a post-trades certificate or advanced certificate and extensive relevant
experience as a technician; or
an equivalent combination of relevant experience and/or education/training.
Occupational equivalent
Graduate (i.e. degree) or professional, without subsequent work experience on entry (including
inexperienced computer systems officer); administrator with responsibility for advice and
determinations; experienced technical officer.
Level of supervision
In professional positions, routine supervision to general direction, depending on tasks involved and
experience. In technical positions, general direction and may supervise other staff.
Task level
Apply body of broad technical knowledge and experience at a more advanced level than 4, including
the development of areas of specialist expertise. In professional positions, apply theoretical
knowledge, at degree level, in a straightforward way. In administrative positions, provide
interpretation, advice and decisions on rules and entitlements.
Organisational knowledge
Perform tasks/assignments, which require proficiency in the work area’s rules, regulations, processes
and techniques and how they interact with other related functions.
Judgement, independence and problem solving
In professional positions, solve problems through the standard application of theoretical principles and
techniques at degree level. In technical positions, apply standard technical training and experience to
solve problems. In administrative positions, may apply expertise in a particular set of rules or
regulations to make decisions, or be responsible for co-ordinating a team to provide an administrative
service.
Typical activities
In technical positions:
•
•
develop new equipment to general specifications
under general direction, assist in the conduct of major experiments and research programs
and/or in setting up complex or unusual equipment for a range of experiments and
demonstration
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•
•
under broad direction, set up, monitor and demonstrate standard experiments and equipment
use
prepare reports of a technical nature.
In library technician positions, perform at a higher level than Level 4, including assist with reader
education programs and more complex bibliographic and acquisition services.
•
Operate a discrete unit within a library, which may involve significant supervision, or be the
senior staff member in an outposted service.
In administrative positions, responsible for the explanation and administration of an administrative
function, e.g. HECS advice, records, determinations and payments, a centralised enrolment function,
the organisation and administration of exams at a small campus.
In professional positions and under professional supervision:
•
•
•
work as part of a research team in a support role
provide a range of library services including bibliographic assistance, original cataloguing and
reader education in library and reference services
provide counselling services.
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3.1.6
HIGHER EDUCATION WORKER LEVEL 6
Training level or qualifications
Persons employed at Level 6 shall typically perform duties at a skill level which assumes and requires
knowledge or training equivalent to:
•
•
•
a degree with subsequent relevant experience; or
extensive experience and specialist expertise or broad knowledge in technical or
administrative fields; or
an equivalent combination of relevant experience and/or education/training.
Occupational equivalent
Graduate or Professional with subsequent relevant work experience (including a computer systems
officer with some experience); line manager; experienced technical specialist and/or technical
supervisor.
Level of supervision
In professional positions, general direction; in other positions, broad direction. May have extensive
supervisory and line management responsibility for technical, clerical, administrative and other nonprofessional staff.
Task level
Perform work assignments guided by policy, precedent, professional standards and managerial or
technical expertise. Employees would have the latitude to develop or redefine procedure and interpret
policy so long as other work areas are not affected. In technical and administrative areas, have a
depth or breadth of expertise developed through extensive relevant experience and application.
Organisational knowledge
Perform tasks/assignments which require proficiency in the work area’s existing rules, regulations,
processes and techniques and how they interact with other related functions, and to adapt those
procedures and techniques as required to achieve objectives without impacting on other areas.
Judgement, independence and problem solving
Discretion to innovate within own function and take responsibility for outcomes; design, develop and
test complex equipment, systems and procedures; undertake planning involving resources use and
develop proposals for resource allocation; exercise high level diagnostic skills on sophisticated
equipment or systems; analyse and report on data and experiments.
Typical activities
In technical positions:
•
•
•
•
•
manage a teaching or research laboratory or a field station
provide highly specialised technical services
set up complex experiments
design and construct complex or unusual equipment to general specifications
assist honours and postgraduate students with their laboratory requirements
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•
install, repair, provide and demonstrate computer services in laboratories.
In administrative positions:
•
•
•
provide financial, policy and planning advice
service a range of administrative and academic committees, including preparation of
agendas, papers, minutes and correspondence
monitor expenditure against budget in a school or small faculty.
In professional positions:
•
•
•
•
•
•
work as part of a research team
provide a range of library services, including bibliographic assistance, original cataloguing and
reader education in library and reference services
provide counselling services
undertake a range of computer programming tasks
provide documentation and assistance to computer users
analyse less complex user and system requirements.
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3.1.7
HIGHER EDUCATION WORKER LEVEL 7
Training Level or Qualifications
Persons employed at Level 7 shall typically perform duties at a skill level which assumes and requires
knowledge or training equivalent to:
•
•
•
a degree with at least 4 years subsequent relevant experience; or
extensive experience and management expertise in technical or administrative fields; or
an equivalent combination of relevant experience and/or education/training.
Occupational equivalent
Senior librarian, technical manager, senior professional or scientific officer, senior administrator in a
small less complex faculty.
Level of supervision
Broad direction. May manage other administrative, technical and/or professional staff.
Task level
Independently relate existing policy to work assignments or rethink the way a specific body of
knowledge is applied in order to solve problems. In professional or technical positions, may be a
recognised authority in a specialised area.
Organisational knowledge
Detailed knowledge of academic and administrative policies and the interrelationships between a
range of policies and activities.
Judgement, independence and problem solving
Independently relate existing policy to work assignments, rethink the way a specific body of
knowledge is applied in order to solve problems, adapt procedures to fit policy prescriptions or use
theoretical principles in modifying and adapting techniques. This may involve standalone work or the
supervision of others in order to achieve objectives. It may also involve the interpretation of policy
which has an impact beyond the immediate work area.
Typical activities
In a library, combine specialist expertise and responsibility for managing a library function; in student
services, the training and supervision of other professional staff combined with policy development
responsibilities which may include research and publication in technical manager positions, the
management of teaching and research facilities for a department or school; in research positions,
acknowledged expertise in a specialised area or a combination of technical management and
specialist research.
In administrative positions, provide less senior administrative support to relatively small and less
complex faculties or equivalent.
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3.1.8
HIGHER EDUCATION WORKER LEVEL 8
Training level or qualifications
Persons employed at Level 8 shall typically perform duties at a skill level which assumes and requires
knowledge or training equivalent to:
•
•
•
postgraduate qualifications or progress towards postgraduate qualifications and extensive
relevant experience; or
extensive experience and management expertise; or
an equivalent combination of relevant experience and/or education/training.
Occupational equivalent
Researcher of national standing; manager; senior school or faculty administrator.
Level of supervision
Broad direction. May manage other administrative, technical and/or professional staff.
Task level
Work at this level is likely to require the development of new ways of using a specific body of
knowledge, which applies to work assignments, or may involve the integration of other specific bodies
of knowledge.
Organisational knowledge
The employee would be expected to make policy recommendations to others and to implement
programs involving major change, which may impact on other areas of the institution’s operations.
Judgement, independence and problem solving
Responsible for program development and implementation. Provide strategic support and advice to
schools or faculties requiring integration of a range of university policies and external requirements,
and an ability to achieve objectives operating within complex organisation structures.
Typical activities
Assist in the management of a large functional unit with a diverse or complex set of functions and
significant resources; manage a function or development and implementation of a policy requiring a
high degree of knowledge and sensitivity; manage a small and specialised unit where significant
innovation, initiative and/or judgement are required; provide senior administrative support to schools
and faculties of medium complexity, taking into account the size, budget, course structure, external
activities and management practices within the faculty or equivalent unit.
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3.1.9
HIGHER EDUCATION WORKER LEVEL 9
Training level or qualifications
Persons employed at Level 9 shall typically perform duties at a skill level which assumes and requires
knowledge or training equivalent to:
•
•
•
postgraduate qualifications and extensive relevant experience; or
extensive management experience and proven management expertise; or
an equivalent combination of relevant experience and/or education/training.
Occupational equivalent
Researcher of national or international standing; manager; senior school or faculty administrator.
Level of supervision
Broad direction. Will manage other administrative, technical and/or professional staff.
Task level
Demonstrated capacity to conceptualise, develop and review major professional, management or
administrative policies at the corporate level. Significant high level creative, planning and
management functions. Responsibility for significant resources.
Organisational knowledge
Conceptualise, develop and review major policies, objectives and strategies involving high level
liaison with internal and external client areas. Responsible for programs involving major change which
may impact on other areas of the institution’s operations.
Judgement, independence and problem solving
Responsible for program development and implementation. Provide strategic support and advice to
schools or faculties requiring integration of a range of internal and external policies and demands, and
an ability to achieve objectives operating within complex organisation structures.
Typical activities
Assist in the management of a large functional unit with a diverse or complex set of functions and
significant resources; manage a function or development and implementation of a policy requiring a
high degree of knowledge and sensitivity and the integration of internal and external requirements;
manage a small and specialised unit where significant innovation, initiative and/or judgement are
required; provide senior administrative support to the more complex schools and faculties, taking into
account the size, budget, course structure, external activities and management practices within the
faculty or equivalent unit.
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3.1.10 HIGHER EDUCATION WORKER LEVEL 10
Training level or qualifications
Persons employed at or above this level shall typically perform duties at a skill level which assumes
and requires knowledge or training equivalent to:
•
•
proven expertise in the management of significant human and material resources; in addition
to, in some areas
postgraduate qualifications and extensive relevant experience.
Occupational equivalent
Senior program, research or administrative manager.
Level of supervision
Broad direction. Will manage other administrative, technical and/or professional staff.
Task level
Complex, significant and high level creative planning, program and managerial functions with clear
accountability for program performance. Comprehensive knowledge of related programs. Generate
and use a high level of theoretical and applied knowledge.
Organisational knowledge
Bring a multi-perspective understanding to the development, carriage, marketing and implementation
of new policies; devise new ways of adapting the organisation’s strategies to new, including externally
generated, demands.
Judgement, independence and problem solving
Be fully responsible for the achievement of significant organisational objectives and programs.
Typical activities
Manage a large functional unit with a diverse or complex set of functions and significant resources;
manage a more complex function or unit where significant innovation, initiative and/or judgement are
required; provide senior administrative support to the most complex schools and faculties in large
institutions, involving complex course structures, significant staff and financial resources, outside
activities and extensive devolution of administrative, policy and financial management responsibilities
to this position.
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3.2
Reclassification – General Staff
(a) A general staff employee may apply for a classification review of their position on the basis that:
(i) A revised organisational structure has been proposed which requires the review of all
positions and their classifications; or
(ii) The duties and responsibilities of an existing position have changed substantially so as to
suggest that the position may no longer be appropriately classified and these changes are
expected to be ongoing.
(iii) The applicant has not applied for a review of their classification within the previous twelve
months unless a substantial change in duties and responsibilities occurs within that period.
(iv) The staff member is employed at level four or five has reached the maximum salary point for
this level
(b) The following process applies when a re-classification claim occurs or when a review is required:
(i)
Where a general staff member applies for the reclassification of their position to their direct
supervisor/manager or a review is required in accordance with clause 26, Progression
through the classification structure of the SUT Academic & General Staff Enterprise
Agreement 2009, the immediate supervisor of a position is responsible for preparing the
position description.
(ii)
Where a position is occupied it is expected that the incumbent will also have input into the
review of the position description.
(iv) The position description subject of an application for reclassification should be agreed
between the manager/direct supervisor and incumbent, and signed by all parties to indicate
that the position is appropriately described at the time of preparation.
(v) The Head of Organisational Unit shall sign the position description to indicate proper
consultation.
(vi) When agreement cannot be reached on the contents of a position description, or the Head
of Organisational Unit withholds approval, the classification Appeals Process shall apply.
(c) Timeframes
The documentation will be forwarded by or through the management unit to Human Resources
within a week of agreement. Human Resources will check the application to ensure that all
relevant information is provided and will consult with the positions supervisor and /or applicant as
necessary.
The effective date of a classification/reclassification will be the date of lodgement of the
application with Human Resources.
The proposal will be submitted to the full Classifications Committee for consideration within 28
days of lodgement of an application. The Committee may consult with relevant parties in its
deliberations.
Human Resources will notify the Head of Management Unit and affected staff in writing within
five working days of the decision.
(d) Swinburne Classifications Committee Membership
The Swinburne Classifications Committee shall comprise the following members:
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(i) up to two members of staff as nominated by the University;
(ii) up to two members of staff as nominated by the union.
Where conflict of interest exists, real or perceived, committee members shall withdraw from
participation in the committee for the application in question.
(e) Consideration of the Re-classification
The process of decision making will be by consensus. In the unlikely event that consensus
cannot be reached within a period of one month from the first consideration of the Classification
Committee’s first consideration of the classification request a new Classification committee shall
be established.
Where the classification committee is re-constituted, and a decision is again unable to be
reached the by either Committee by consensus, the re-classification review together with all
relevant written submissions and materials will be forwarded to the relevant Deputy ViceChancellor/ Vice-President/Pro Vice-Chancellor for determination.
The Committee shall normally meet as required depending on the volume and urgency of
submissions.
(f)
Classification appeal process
Criteria for Appeal
Disputes over contents of position description
The Appeals Committee is empowered to resolve disputes over the contents of a position
description. Where the members of the Appeals Committee have been involved in the resolution
of a dispute over the contents of a position description, they are disqualified from membership of
the Appeals Committee, should an appeal be lodged in relation to that position.
(g) Review of Classification Committee
Any incumbent of a position may seek reconsideration of the decision of the Classifications
Committee in respect to his/her own position on either
(i)
(ii)
procedural irregularity
or to put before the Appeals Committee relevant information either not provided or not
available at the time the application was first heard.
The appellant may on request have access to any relevant information including a workplace
inspection or discussion with the appropriate supervisor/manager, head of department or
Manager.
(h) Classification Appeal Committee
The request for reconsideration shall be examined by a Committee comprising:
(i) One member of staff nominated by the Vice-Chancellor
(ii) Once member of staff nominated by the union
(iii) An independent chair selected in accordance with clause 55, Committees and Chairpersons
of the SUT Academic and General Staff Enterprise Agreement 2009.
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(i)
Timeframe for the Appeal Committee
Appeals are to be lodged with Human Resources within 10 working days of the date of advice to
the position incumbent of the classification decision.
The Appeals Committee shall be convened within 15 working days of an appeal being lodged
and is required to reach a decision within 10 working days of its first meeting. The decision shall
be by a majority of the Appeals Committee.
The appellant shall be advised of the decision of the Appeals Committee within five working days
of the decision being made.
(j)
Findings of the Appeal Committee
An Appeals Committee may determine that:
(i) there was a procedural irregularity and that the classification should be referred back to the
Classifications Committee for further review;
(ii) that information not previously available may affect the classification and that this information
should be referred to the Classifications Committee for consideration and a further
recommendation as to the appropriate classification;
(iii) the appeal does not meet the necessary grounds for appeal as outlined above and should
therefore be dismissed.
(k) Review of new positions
The University will ensure that any new position descriptions are submitted to the Classifications
Committee within 12 months of initial staffing. The availability of such a review will not preclude
the incumbent from exercising their right to seek a reclassification of the position earlier if they
think it to be merited.
3.3
Incremental Progression
Progression through the Incremental Pay Structure – General Staff Employees
Incremental advancement will be based on satisfactory performance as provided for and outlined in
clause 25.2 of the Swinburne University of Technology Academic and General Staff Enterprise
Agreement 2009. An increment shall not be withheld to general staff employees other than by the
procedures outlined in this clause, or in the industrial regulations
Four months prior to an employee’s increment level being due for review, the Manager will receive an
automatic notification via email. Should the Manager be considering withholding the increment, they
must contact their HR Consultant immediately. If HR is not notified to withhold an increment within
time, then the incremental increase will be duly processed.
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3.4
Academic Promotions Principles and Procedures
The University's academic promotions system is designed to provide career progression for academic
staff while at the same time ensuring that the University's staffing profile is developed to meet its
strategic priorities.
In implementing this, the University will adhere to the principle of equal opportunity and diversity,
ensuring that there is no direct or indirect discrimination.
This procedure covers all staff employed as Higher Education academic staff, including staff at
Sarawak.
3.4.1
Applications
(a) Applications for academic merit promotion will normally be considered annually.
(b) Applications are to be submitted online via the eRecruit system and should be in accordance with
the submission guidelines available on the Academic Promotions website and in the ‘Your
Academic Career at Swinburne’ (YACS) document. The closing date for applications will be at
5pm on 1 September. Where 1 September falls on a Saturday or Sunday, the closing date for
applications will be the following Monday.
(c) Applicants will be notified of the outcome before the end of the year in which they apply.
3.4.2
Promotions
(a) Promotions will take effect from 1 January in the year following the promotion advice, unless
otherwise specified by the Promotions Committee.
(b) The University reserves the right to limit the number of promotions in any given cycle.
3.4.3
Eligibility
Academic and Research-only staff holding full-time or fractional, on-going or fixed-term appointments
may apply. The promotions process does not apply to Sessional staff employed on an hourly rate of
pay.
In all cases, the following constraints apply:
(a) Staff must have completed at least twelve months continuous employment on an ongoing or
fixed-term basis at the University at the date of application, which is 1 September of any year
in which an Academic Promotion cycle is being held.
(b) For contract staff, the contract must extend for at least 12 months past the date of
application, which is 1 September of any year in which an Academic Promotion cycle is being
held.
(c) Where staff are funded externally, such as Research-only staff, applications will only be
accepted where salary costs associated with the promoted position will be met by the funding
source currently meeting its employment costs, or by the home Faculty. Evidence of this
support will need to be provided in the application.
(d) When an application is unsuccessful the academic staff member will normally be eligible to
apply again at any time from 2 years after the initial application.
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3.4.4
3.4.4.1
Qualifications
Progression to Academic Level B
At least a Master’s qualification is normally expected for progression from level A to level B.
3.4.4.2
Promotion to Academic Levels C, D and E
(a) A doctoral qualification, or equivalent, is normally expected for promotion to level C, however
see next point.
(b) For promotion to level C, staff members without a doctoral qualification may be considered
for promotion if their application outlines the ways in which they have demonstrated a
significant level of scholarly activity, and includes evidence of a body of peer reviewed
outcomes arising from that scholarly activity deemed to meet the equivalence of doctoral
status.
(c) A doctoral qualification, or equivalent, is mandatory for level D and level E.
3.4.4.3
Promotion to University Distinguished Professor
To be considered for promotion to the status of University Distinguished Professor:
(a) Completion of a doctoral qualification is compulsory.
(b) The applicant must already have been appointed or achieved promotion to Academic level E.
(c) The applicant must be able to demonstrate outstanding and significant international
recognition and prominence in research.
(d) The award of the status and promotion will be based on recognition of past research
eminence and will also have regard to ongoing research status. Specific indicators may
include:
• An impressive portfolio of major publications with international publishers and world class
journals;
• Internationally recognised prizes, awards, patents, honours etc.;
• Citations by a broad cross-section of peers internationally;
• Reports of eight referees, of which the majority are international if appropriate and
possible; and
• Evaluation of future research potential and benefits to the University’s research profile.
3.4.4.4
Validation of claims
Candidates will be expected to provide evidence of their claims of achievement, such as by internal or
external validation.
If any claim made in an application is determined to be potentially false or misleading by the
Promotions Committee when assessing an application, the candidate will be asked for clarification or
further information.
The Promotions Committee will consider this response and decide whether to allow the application to
continue or disqualify the application. In the event of a disqualification, University disciplinary
procedures may be invoked.
Where data from an internal body, such as Planning and Performance, Education and Quality or
Swinburne Research, is presented within an application, the Committee has the right to seek further
clarification.
3.4.4.5
Minimum Standards for Academic Levels (MSALS)
Candidates must already be performing most of their duties at the level to which they are applying for
promotion.
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Staff members are expected to be able to demonstrate that they are performing at a level consistent
with the level to which they wish to be promoted. These standards are found in the Minimum
Standards for Academic Levels.
Refer also to the document ‘Your Academic Career at Swinburne’.
3.4.4.6
3.4.4.6.1
Promotions Committees
Levels B and C Committee
Applications for progression to Academic levels B and C will be considered by this Committee. The
recommendations will be provided to the Senior Deputy Vice-Chancellor and Provost.
Membership of this Committee will generally include:
(i) Pro Vice-Chancellor - Chair (Education & Quality)
(ii) Pro Vice-Chancellor – Alternate Year Chair (Research)
(iii) One ongoing Level C academic staff representative elected by ongoing and fixed term
academic and research staff only
(iv) Three Deans nominated by the Executive Dean. These representatives will be limited to one
per Faculty
(v) Three Associate Deans nominated by the Dean/Executive Dean. These representatives will
be limited to one per Faculty and cannot all be either R&E or LI
The Senior Deputy Vice-Chancellor and Provost will make the recommendations to the ViceChancellor for decision.
3.4.4.6.2
Professoriate Promotions Committee
Applications for promotion to Academic Levels D and E are considered by the Professoriate
Promotions Committee.
Membership of this Committee will generally include:
(i) Senior Deputy Vice-Chancellor and Provost (Chair)
(ii) Deputy Vice-Chancellor (Research & Development)
(iii) Faculty Executive Deans
(iv) Two ongoing academic staff representatives elected by ongoing and fixed-term academic
and research-only staff, one at level D and one at level E
(v) One external academic or non-faculty academic at level E appointed by the Senior Deputy
Vice-Chancellor and Provost
The recommendations will be made to the Vice-Chancellor for decision.
The Professoriate Promotions Committee will also assess applications for promotion to levels D and E
for academic staff at Sarawak Campus. The Promotions Committee will make recommendations to
the Pro Vice-Chancellor, Sarawak for approval.
3.4.4.6.3
University Distinguished Professor Committee
Applications for promotion to University Distinguished Professor are considered by the University
Distinguished Professor Committee.
Membership of this Committee will normally include:
(i) Senior Deputy Vice-Chancellor and Provost.
(ii) Deputy Vice-Chancellor (Research & Development).
(iii) One Dean of the Higher Education Division to be nominated by the Vice-Chancellor.
(iv) One head of a tier one research centre to be nominated by the Vice-Chancellor.
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The University Distinguished Professor Committee will make a recommendation on the granting of the
title University Distinguished Professor to the Vice-Chancellor for decision.
The University Distinguished Professor Committee will also assess applications for promotion to the
status of University Distinguished Professor for academic staff at Sarawak Campus. The University
Distinguished Professor Committee will make recommendations to the Vice-Chancellor for decision.
There will be no formal application round for applicants seeking promotion to the status of University
Distinguished Professor. Applications should be made directly to the Director of Human Resources.
If the application is successful, the effective date of promotion to University Distinguished Professor
will be the date of lodgement with Human Resources.
Eight referees are required for promotion to University Distinguished Professor. Four of these will be
sought independently by the Committee. The applicant should forward four references directly to
Human Resources as part of the application.
3.4.4.7
Conflict of interest and confidentiality
Where any member of staff elected or appointed to a Promotions Committee considers that he or she
may have a conflict of interest, (or the Committee believes that a member of either committee may
have a conflict of interest), the staff member must declare this possible conflict of interest and the
matter must be discussed and resolved by the affected Committee prior to the consideration of any
applications.
The Committee Chair will make the final decision as to whether the staff member remains on the
committee or absents themselves from deliberations and decisions.
Recommendations and deliberations of the Committee will not be disclosed beyond the Committee
and outcomes will remain confidential before, during and after the process. Notification of outcomes
will be through the Vice-Chancellor.
3.4.4.8
Equity and diversity
The University is committed to creating and maintaining an inclusive workplace and supporting a
diverse staff profile. It is committed to ensuring that all aspects of the promotion process are fair,
transparent and inclusive. Applications for promotion will be assessed on merit and in accordance
with the University's Equal Employment Opportunity and Diversity policy.
Non-traditional patterns of achievement will be taken into account in the promotions process,
including those which can be demonstrated by part-time staff, women, Indigenous Australians, people
with disabilities and people from non-English speaking backgrounds. Particular consideration will be
given to the impact that career breaks and part-time employment have had on applicants with carer
responsibilities and the Committee will ensure each applicant’s achievements are assessed relative to
opportunity. Applicants will need to advise the Committee of these circumstances so that assessors
can judge the applications against the relevant criteria.
3.4.5
3.4.5.1
Procedure
Completing an application
For more information and assistance in writing an application, please refer to the ‘Your Academic
Career at Swinburne’ (YACS) document, which contains the guidelines to developing a submission.
This is accessible via the Academic Promotions website
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78
http://www.swinburne.edu.au/corporate/hr/promotions2014, which contains the most up to date
information in regards to the Academic Promotions process. Additional resources have also been
provided to assist and guide staff in preparing an application.
Applications must be structured according to the prescribed format within the guidelines in the YACS
document. Applications which do not follow the prescribed format may not be considered.
3.4.5.2
3.4.5.2.1
Components of the application must include:
Cover page
This will contain relevant information that includes the following: applicant’s name, employee number
and contact details; Faculty or Academic Unit; current Classification level and Classification level
applying for; date of either appointment or promotion to current level and Portfolios (on which the
application will be assessed). This form can be downloaded from the Academic Promotions website.
3.4.5.2.2
Summary statement
This section is to set out the case for promotion and should summarise the rationale for the
application, validating the applicant’s strengths and outcomes achieved in the relevant areas
Research & Scholarship, Learning & Teaching and Leadership, Service & Engagement. It provides a
summary reference guide for the committee during panel deliberation.
3.4.5.2.3
Curriculum Vitae
An up-to-date brief curriculum vitae. This form can be downloaded from the Academic Promotions
website.
3.4.5.2.4
References
The applicant should contact their referees and request that a written reference of no more than one
page only be forwarded to the Human Resources department, to be received no later than 1
September.
Applicants need to provide at least:
• One internal and one external reference (for promotion to level C)
• One internal and two external references (for promotion to level D)
• Four external references (for promotion to level E). Two external references will be
nominated by the applicant and two external references will be nominated by the Dean of
School or equivalent Unit Manager (non Faculty)
• Eight referees are required for promotion to University Distinguished Professor. Four of
these are to be provided by the applicant. The other four will be sought independently by
the panel.
3.4.5.2.5
Portfolios
Portfolios submitted by applicants should cover all three areas: Research & Scholarship, Learning &
Teaching, and Leadership, Service & Engagement (at a maximum of 5 pages for each portfolio).
Research only applicants are required to submit two portfolios: Research & Scholarship and
Leadership, Service & Engagement (at a maximum of 5 pages for each portfolio).
Applicants must rank portfolios in order of priority on the coversheet of the application.
3.4.5.3
Discussion between Dean and applicant
(a) Applicants must discuss their submission and portfolios with their Dean (or equivalent Academic Unit
Manager, in the case of academic staff not within Faculties) prior to the application being lodged.
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(b) Deans must state their intention to either support or not support the application on the cover sheet of
the submission and provide a letter of recommendation of no more than one page. The Committee
will not consider applications that do not comply with this requirement.
(c) Research-only applicants must first discuss their intention to apply with their Dean (or equivalent
Academic Unit Manager) and, where relevant, Centre Director prior to the application being lodged.
(d) For externally-funded applicants, a letter is required from the supporting funding source (i.e., their
Dean or equivalent Academic Unit Manager, or External Funding Source) advising that employment
costs will be met, should the applicant be successfully promoted.
3.4.5.4
Discussion between supervisor and applicant
(a) Applicants must discuss their submission and portfolios with their supervisor, prior to the
application being lodged.
(b) The supervisor should provide advice and guidance to the applicant on the preparation of the
submission.
(c) The supervisor must certify that they have discussed the submission with the applicant by signing the
cover sheet of the submission. Applications that do not comply with this requirement will not be
considered by the Committee.
3.4.5.5
Interview
Applications need to be written as stand-alone documents that do not rely on an interview for any
further explanation. However, the Promotions Committee reserves the right to interview candidates.
3.4.5.6
3.4.5.6.1
Additional information for applicants
Appendices
The Appendices section within the submission is limited to 20 pages only.
3.4.5.6.2
Learning and Teaching portfolio
Where available, summary sheets from all relevant surveys on units of study and teaching may be
included as appendices (within the 20 page limit) to Learning & Teaching Portfolios. These are
available from the Policy and Planning Unit (P&P). Selective quotations from P&P surveys will not be
admitted as evidence for promotion unless the summary statistics sheets are also provided and a
reflective analysis of the data by the academic is included.
3.4.5.7
Seeking feedback
Candidates whose applications for promotion are unsuccessful are entitled to feedback about reasons
for their applications being unsuccessful. Where appropriate, advice can also be sought from the
Chair of the Promotions Committee and/or the Dean (or equivalent Academic Unit Manager) on areas
for development. Procedures for seeking feedback will be provided in the letter of notification on their
application.
Any such advice or feedback is provided in order to assist candidates and it must be understood that
this cannot bind the decisions of any subsequent Promotions Committee.
3.4.5.8
3.4.5.8.1
Appeals
Who may appeal
An unsuccessful candidate may appeal against the Committee’s decision to the Director, Human
Resources where:
• there is a prima facie case of a significant breach of procedure, and
• such a breach may have affected the outcome of the promotion process.
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3.4.5.8.2
When can an appeal be made?
An applicant has fourteen (14) days from the date of notification of the unsuccessful application in
which to lodge an appeal with the Director, Human Resources. The Director, Human Resources will
determine if an appeal will be considered further.
3.4.5.8.3
Appeal decision
In the event that the Director, Human Resources does not accept that there are grounds for appeal,
the decision will be final.
If the Director, Human Resources believes there are grounds for appeal he/she will reconvene the
Promotions Committee.
Application processes are detailed on the Academic promotions website.
3.5
Salary adjustments due to classification and increment
changes
Where an employee's salary classification changes, the date of effect of the said change shall be
considered the date of appointment for the purpose of determining the date of effect of incremental
increases.
Payment of salaries adjusted for incremental increases shall be made no later than the first payday on
or after the date of the effect of the increase, provided that in the case of increases with effect from
1 January payment may be made on the first payday in February of the same calendar year.
In the case of a change in salary due to promotion, change in classification, or payment of a higher
duties allowance, payment of salary at the adjusted rate shall be made in the first available payday
after the paperwork is received by the Payroll Office.
HR Assist will forward on relevant paperwork to payroll to initiate changes.
3.6
Rewarding high performing staff
This section defines the way in which the University rewards and recognises excellent staff as well as
attracts future staff by offering additional remuneration or other benefits.
The aim is to:
(a) Ensure Swinburne University of Technology can appropriately reward and recognise high
performing staff
(b) Facilitate the recruitment of a new staff member in an area of demonstrated market demand and
competition
(c) Ensure retention and/or remuneration of an existing staff member in response to demonstrated
market demand and competition
(d) Assist in the fair and transparent performance management of staff, in particular those staff
that receive a salary loading or a bonus payment
(e) Swinburne is committed to ensuring there is equality in relation to pay, regardless of gender
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81
3.6.1
Salary loadings, agreed rates and bonus arrangements
The University recognises that to appropriately reward and recognise excellent staff and to attract
future staff, we may need to reward these individuals with additional remuneration or other benefits.
The principle of paying salary loadings, agreed rates or market loadings to staff, or providing some
other sort of flexible rewards ensures that we encourage and reward a high performing individual and
maximise a productive workforce.
The introduction of a salary loading or a bonus arrangement should be considered in the wider
context of other alternative remuneration and/or employee benefits designed to attract, retain and
benefit staff e.g.
3.6.1.1
•
improved research and teaching facilities
•
access to promotional opportunities
•
ability to undertake paid outside work and commercial activities in accordance with the
University's policy
•
access to development opportunities
•
study assistance and support
•
access to a University operating leased vehicle
•
providing flexible work arrangements
•
flexible leave arrangements
Approval of salary loadings, agreed rates and bonus arrangements
The approval of a salary loading, agreed rate or bonus payment falls in line with the approvals
required under the appointment procedure of the University. Two levels of management must approve
a salary loading, agreed rate or bonus arrangement
The remuneration of those staff who report directly to the Vice-Chancellor rests with the ViceChancellor.
Any loadings paid must be met from the management unit’s budget.
3.6.2
Agreed rates
An agreed rate is a salary that has been agreed upon for a staff member which is over the salary
banding for the classification of the role, according the relevant salary scale contained in the
applicable certified agreement.
3.6.3
Salary loading
A salary loading is an amount of money above the minimum rate that is specified in a certified
agreement paid to a staff member. A salary loading can also be known as a market loading. Salary
loadings may be calculated as a percentage above the salary or a defined amount of money.
3.6.3.1
Criteria to determine salary loadings
The following criteria should be considered when applying a salary loading:
(a) The critically important contribution of the individual to the achievement of high priority
objectives.
(b) The exceptional value to the University of the individual's services
(c) Actual or potential contribution of the individual to the external earnings of the University
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(d) Sustained and extreme market pressures in recruitment and retention, as demonstrated in a
comprehensive case based on such factors as:
• the advertising history for a particular position
• salary surveys of particular areas in the private sector;
• high staff turnover in a particular subject area clearly related to higher salary levels
available elsewhere
The standard loading for an individual shall not normally exceed 15% of the applicable certified
agreement salary. In exceptional circumstances a higher loading (maximum of 20%) may be paid on
approval of the responsible Executive Group member. A loading greater than 20% requires approval
of the Vice-Chancellor
3.6.3.2
Payment of salary loadings
Loadings will be payable on an annual basis subject to performance review of the individual. The
recipient of the loading must agree to an annual performance review on criteria negotiated at the time
of accepting the loading.
3.6.3.3
Removal of salary loadings
Salary loadings can be removed in the case of poor performance, market demand decline or lack of
the achievement of targets.
3.6.3.4
Market loading
A loading may be applied to a vacant position to attract a suitable applicant if sustained and extreme
market pressure in recruitment has been demonstrated through advertisement or benchmarking data
(market loading).
3.6.3.5
Classification impact
The salary loading does not affect the classification of the vacant or occupied position.
Where a staff member who is in receipt of a salary loading has their position reclassified or they are
promoted, any salary loading that was applicable ceases. If any new arrangements are to be
negotiated, the normal process of approval and application of the criteria will apply to the new role.
3.6.3.6
Pay impact
Salary loadings are not included in salary for superannuation purposes unless specifically allowed for
by the relevant Executive Group member.
Salary loadings are payable during all periods of paid leave and are included in salary for purposes of
calculation of the annual leave loading.
Individuals in receipt of a salary loading may be entitled to increases in line with the applicable
certified agreement. Any movements in salary are to form part of the annual review of the loading.
3.6.4
Bonus Payments
As part of rewarding high performing staff, the University may reward staff who exceed the normal
expectations of a position. This may be done through setting annual targets that are linked to a one
off payment, such as a bonus.
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3.6.5
Performance Based Contracts
Performance Based Contracts are used for senior staff (with the exception of VE Executives), usually
with strategic responsibility for the direction of a management unit and will often have significant
budget responsibilities.
Performance Based Contracts are made up of a combination of an agreed salary and up to 20%
bonus component. Performance Based Contracts are normally for a fixed term appointment for a
period of up to 5 years.
All Performance Based contracts are to be approved by the Vice Chancellor and relevant Executive
Group member. Performance Based contracts are normally used for the following positions:
•
•
•
•
•
•
•
Senior Deputy Vice-Chancellor & Provost
Deputy Vice-Chancellor
Pro-Vice Chancellor
Vice-President
Director
Executive Dean
Dean
Refer to Clause 17 of the 2009 Enterprise Agreement for further details on Performance Based
Contracts http://www.swinburne.edu.au/corporate/hr/docs/SUT_EBA_2009.pdf
3.6.6
Poor Performance
For any staff member at the University, regardless if they are in receipt of a salary loading or targets
linked to one off bonus payments, the normal procedures for managing poor performance will apply.
These procedures will be found in the relevant procedure or certified agreement that governs their
terms and conditions of employment.
3.7
Unsatisfactory Work Performance/Conduct
3.7.1
Unsatisfactory Work Performance/Conduct (Academic and General
Staff)
The processes for managing unsatisfactory work performance and/ or misconduct relating to
Academic or General employees is outlined in the Enterprise Agreement as varied from time to time.
Unsatisfactory work performance and/ or misconduct includes, but is not limited to:
•
Inefficiency or negligence in the performance of duties; or
•
Action which is prejudicial to the health or safety of other employees or students; or
•
A breach of University policies, procedures or regulations.
•
The failure to comply with a reasonable lawful instruction; or
•
Misconduct or improper conduct that impedes the employee or their colleagues from carrying
out their duties
•
A serious dereliction of duties
•
Conviction by a Court of an offence which that impedes the employee or their colleagues from
carrying out their duties
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3.7.1.1
Disciplinary Procedure - Unsatisfactory Work Performance
An overview of the unsatisfactory work performance process is outlined below. Detailed procedural
steps are outlined in the Enterprise Agreement as varied from time to time. Prior to commencing an
unsatisfactory work performance process, the manager should review the Unsatisfactory Work
Performance clause in the Enterprise Agreement.
Stage 1.
The Manager will convene a meeting with the employee, and their representative if they so
choose, to discuss specific concerns or problems and develop appropriate solutions
Stage 2.
If the concerns continue, the employee will receive a First Written Warning. The Manager
will convene a subsequent meeting with the employee, and their representative if they so
choose, to discuss measures for improvement.
Stage 3.
If the concerns continue, the employee will receive a Second and Final Written Warning.
The Manager will convene a subsequent meeting with the employee, and their
representative if they so choose, to discuss measures for improvement.
In the event the matter raised remains unresolved or recurs, the employee may be transferred to a
different position, demoted or terminated. Prior to any decision being made, the Manager will fully
consult and brief the Vice-Chancellor or nominee of all necessary details.
3.7.1.1.1
Process of Decision Making
In the event the Vice-Chancellor or nominee does not approve a course of action the Vice-Chancellor
or nominee can:
(a) terminate proceedings and all action that has taken place in regard to an employee. The
employee concerned will be notified in writing, and all written material on the employee's
personal file will be removed
(b) give the employee a further 4 weeks to achieve the measures. The employee will be notified
in writing. Further, the written notification will fully outline the University's expectations over
the ensuing 4 week period, and that in the event the actions/measures are not achieved, the
employee concerned will be terminated at the expiration of the 4 week period.
(c) Authorise the transfer to another position, or demotion of the employee. The employee will
receive written advice and will be advised of the date the transfer or demotion will have effect.
If the employee believes there has been a breach of the unsatisfactory work performance procedure,
such a breach shall be dealt with via the Dispute Resolution Procedure in the Enterprise Agreement.
3.7.1.2
Disciplinary Procedures - Misconduct/ Serious Misconduct
An overview of the misconduct/serious misconduct process is outlined below. Detailed procedural
steps are outlined in the Enterprise Agreement as varied from time to time. Prior to commencing a
misconduct/serious misconduct process, the manager should review the Misconduct/Serious
Misconduct clause in the Enterprise Agreement.
Prior to taking action against a staff member for reasons amounting to misconduct or serious
misconduct, the Vice-Chancellor or nominee must take steps in accordance with this clause.
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3.7.1.2.1
Process of Review for Misconduct/ Serious Misconduct
If the Vice-Chancellor or nominee believes such allegations warrant further investigation he/she shall:
(a) Notify the employee in writing and in sufficient detail the precise nature of the allegations;
(b) Require the employee to submit a written response within 10 days;
(c) At the time of notifying the employee the Vice-Chancellor or nominee may suspend the
employee on full pay, or without pay, dependent upon the circumstances and severity of the
matter;
(d) If the allegations are admitted in full by the employee and the Manager finds that the conduct
amounts to misconduct, the Vice-Chancellor or nominee shall advise the employee in writing
of his/her decision and the operative date of disciplinary action;
(e) If the allegations are denied in full or part by the employee, or no response is received, the
allegation of misconduct or serious misconduct will be forwarded to the Misconduct
Investigation Committee.
3.7.1.2.2
Misconduct Investigation Committee
Where a matter is referred to a Misconduct Investigation Committee, the Committee shall be
convened within 10 working days. The Committee shall be convened in accordance with the
Disciplinary Procedures clause in the Enterprise Agreement.
The Misconduct Investigation Committee shall:
(d) provide an opportunity for the employee to be Interviewed;
(e) take into account all relevant materials and relevant considerations as it believes appropriate
to substantiate or otherwise the facts in dispute;
(f) allow the employee to be assisted or represented by an advocate, but not if such a person is
a currently practising solicitor or barrister;
(g) conduct proceedings as expeditiously as possible;
(h) operate under the principles of natural justice;
(i) make its report to the Vice Chancellor and the affected employee.
The Committee shall provide a report to the University on the facts relating to the alleged misconduct
or serious misconduct, including whether any mitigating circumstances are evident and its view of the
appropriate penalty, if any. In reaching a decision the Vice-Chancellor or nominee must take into
account the recommendations and findings of the Committee.
On receipt of the report of the Committee and having considered its findings on the facts related to the
alleged misconduct or serious misconduct, the Vice-Chancellor or nominee, may take disciplinary
action and shall notify the employee in writing. The forms of disciplinary action are not definitive, but
can include the following:
(a)
(b)
(c)
(d)
termination of employment,
demotion,
withholding of an increment,
reprimand.
If, having considered the Committee's findings the Vice-Chancellor or nominee finds that there has
been no misconduct, he/she shall immediately advise the employee in writing. If the employee was
suspended without pay the employee will have his/her pay and employment entitlement reinstated
and backdated.
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3.7.1.3
Appeal Process
The employee may appeal against the form of action determined.
The employee must lodge an appeal within 10 days of receiving advice. The appeal will be heard by
an independent external person selected in accordance with the Committees and Chairpersons
clause in the Enterprise Agreement.
3.7.2
Unsatisfactory Work Performance/Conduct (TAFE Teachers)
Procedures for Unsatisfactory Work Performance/Conduct for Vocational Educational teachers were
developed in consultation with the Australian Education Union (‘the AEU”).
3.7.2.1
Conditions for Invoking Procedures
(a) Inefficiency or negligence in the performance of the specified duties of the position held; or
(b) Misbehaviour or misconduct, which includes the commission of acts which constitute an
impediment to the carrying out of the employee’s work or that of the employee’s colleagues or
which is detrimental to students, or the failure to comply with a reasonable instruction from a
person in line control of the employee; or
(c) Action which is prejudicial to the health or safety of other staff or students; or
(d) Breach of University policies or regulations, or breach of published University procedures
3.7.2.2
Procedures
Stage 1.
The Manager will convene a meeting with the employee, and their representative if they so
choose, to discuss the specific concerns or problems and develop appropriate solutions.
The employee will be provided with copies of complaints/allegations.
A written record of the agreed action/measures will be kept and placed on the employee’s
personal file.
Discussion at this stage may indicate that the complaint is unfounded or not sufficient to
warrant further action. In such instances, the teacher will be notified of this in writing, and
any relevant material in the employee’s personal file will be removed
Stage 2.
If the concerns continue, the employee will receive a First Written Warning. The Manager
will convene a subsequent meeting with the employee, and their representative if they so
choose, to discuss measures for improvement. (A representative is defined as a person
chosen by the employee to assist them in discussions with the management
representative (the representative may be a Union representative, colleague or other
nominated party but not a legal representative)
Improvements will need to be met within one month from the date of the first warning being
issued.
Stage 3.
If the concerns continue, the employee will receive a Second and Final Written Warning. A
copy of this warning will be forwarded to the relevant AEU. The Manager will convene a
subsequent meeting with the employee, and their representative if they so choose, to
discuss measures for improvement.
The employee will be given a final chance to achieve the agreed actions/measures, and
will be required to do so within a specified and agreed period of at least two weeks from
the date of the second and final written warning being issued.
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Throughout the process the Manager will give all reasonable assistance to the employee to enable
improvements to their work performance and /or workplace conduct to an acceptable level.
In the event the matters raised remain unresolved or recurs, the employee may be transferred to a
different position, demoted or terminated. Prior to any decision being made, the Manager will fully
consult and brief the Snr Deputy Vice-Chancellor & Provost or nominee of all necessary details.
3.7.2.3
Process of Decision Making
In the event the Snr Deputy Vice-Chancellor & Provost or nominee does not approve a course of
action the Snr Deputy Vice-Chancellor & Provost or nominee can:
(a) terminate proceedings and all action that has taken place in regard to an employee. The
employee concerned will be notified in writing, and all written material on the employee's
personal file will be removed
(b) give the employee a further 4 weeks to achieve the measures. The employee will be notified
in writing. Further, the written notification will fully outline the University's expectations over
the ensuing 4 week period, and that in the event the actions/measures are not achieved, the
employee concerned will be terminated at the expiration of the 4 week period.
(c) Authorise the transfer to another position, or demotion of the employee. The employee will
receive written advice and will be advised of the date the transfer or demotion will have effect.
A copy of this decision will be forwarded to the relevant Union
If after any warning, a period of 6 months elapses without any further warnings or action being
required, all written notes and warnings relating to the employee concerned must be removed from
the employee’s personal file.
An employee who is subject to proceedings in accordance with this procedure may be suspended
with or without pay dependent upon the circumstances and severity of the matter.
Termination of employment shall only occur in accordance with this procedure, other than employees
who are terminated during the qualifying period.
3.7.2.4
Summary Dismissal
Notwithstanding the above the University may terminate by summary dismissal an employee’s
employment in circumstances of serious misconduct. Serious misconduct is most likely to relate to,
but is not limited to, allegations of:
(a) sexual offences
(b) criminal charges
(c) other serious incidents including:
(i) harassment of other employees, students or the public
(ii) serious negligence
(iii) behaviour which endangers others
(iv) maliciously striking a student, other employee or member of the public, or otherwise
inflicting pain
(v) refusal to obey a reasonable lawful instruction
(vi) alcohol or drug misuse
The nature and severity of the alleged misconduct will determine the steps to be taken in dealing with
the employee.
Before taking action to summarily dismiss an employee for serious misconduct, the University must
take action in accordance with following process:
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1. Determine and specify the nature of the serious misconduct. The University may suspend the
employee from duty pending the conclusion of the process.
2. Provide a written copy of the serious misconduct allegations to the employee for response;
3. Notify the AEU and provide the employee with an opportunity to have a representative
present at a meeting to discuss the employees response to the allegations
Provide a report to the Snr Deputy Vice-Chancellor & Provost or nominee recommending action to be
taken.
The Snr Deputy Vice-Chancellor & Provost or nominee will consider the report and, if the allegations
have been proved and constitute serious misconduct, the employee will be summarily dismissed.
If the allegations have been proven but the circumstances are such that the behaviour does not
constitute serious misconduct, the Snr Deputy Vice-Chancellor & Provost or nominee may determine
that the unsatisfactory work performance provisions should apply; or that the employee be transferred
to a different position or demoted. Where the allegations have not been proven, the matter should be
dismissed.
The Snr Deputy Vice-Chancellor & Provost or nominee should provide the employee and the AEU
written notification of the decision.
4
STAFF GRIEVANCE
The University seeks to ensure that staff grievances are dealt with fairly, confidentially, impartially and
in a timely manner.
4.1
Definitions
Complainant - a person or group that makes a complaint
Respondent - a person or group against whom a complaint is brought
The Parties - the persons involved in the process, typically the Complainant and the Respondent
Conciliation - a confidential and without prejudice process, the purpose of which is to achieve a
resolution that is agreed to by both parties. Conciliation process is not a fact-finding exercise.
Investigation - the process of examination in order to discover facts
Vexatious grievance - a complaint made without sufficient grounds so as to cause annoyance,
embarrassment or harm to the respondent.
4.2
Informal resolution process
The University has established an informal process to enable grievances to be resolved as close to
their source as possible. Complainants and respondents are not compelled to use the informal
process. If the complainant and/or respondent feel that the informal process is not appropriate they
have the option of proceeding immediately to a formal process.
Informal resolution measures are the preferred way of resolving complaints other than complaints of
physical attack and serious harassment. Informal resolution measures are preferred for the following
reasons:
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(a) Cases can be resolved without a person being labelled as a bully / harasser (this may be
appropriate where the behaviour is unintentional).
(b) Cases can be resolved without a formal determination (this may be appropriate where the
behaviour is unintentional).
(c) Complaints can be resolved without involving parties in formal, complex and time-consuming
procedures.
(d) Leaders should continuously institute preventative measures throughout a work or teaching
area.
(e) Maintaining a bullying and harassment free work and study environment should be a normal
activity for all employees at all times.
Receipt of an informal complaint of bullying / harassment is not proof of an individual's culpability and
any such assumption should not be made during discussions with alleged respondents.
A grievance may also be withdrawn at any time.
4.2.1
Steps to be taken in the informal process
Complainants are encouraged to proceed through the following steps of the informal process.
4.2.1.1
Step 1
(a) Asking or telling a person to stop.
(b) Asking or telling a person to stop, accompanied by a support person if they feel a need.
(c) Seeking advice from your Manager
(d) Seeking advice from another Manager within your management unit
(e) Seeking advice from a Human Resources Consultant.
The complainant may approach the respondent with the details of their allegations and the outcomes
they request in the first instance. If the matter is not satisfactorily resolved or if the behaviour, action,
inaction or decision continues then the complainant may proceed to the next step.
If an individual or group of employees wishes to complain against a respondent/s, they are
encouraged to contact their appropriate manager to discuss an approach to resolve their issue.
4.2.1.2
Step 2 – Informal grievance
Making an informal grievance to the person's manager or another senior staff member in the
management unit.
The respondent has 5 working days (subject to the availability of the respondent) to respond to the
complaint either verbally or in writing. On receipt of the respondent’s response, the complainant may
consider the matter satisfactorily resolved or may proceed to step 3.
4.2.1.3
Step 3 - Informal conciliation
Informal conciliation involves a meeting of the complainant/s and respondent to present their
concerns in person in an attempt to achieve best agreed outcomes. This may be facilitated by a
manager, a Human Resources Consultant or an external conciliator.
The aim of this meeting is to table the concerns of the complainant and provide the respondent with
an opportunity to respond to the allegations. If an agreement is determined between the complainant
and respondent at this meeting the matter may then be closed.
If the complainant and/or respondent is not satisfied with the outcome of this meeting, they may make
an application to the Director, Human Resources, to proceed to the Formal process.
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The Director, Human Resources, will decide if the grievance will proceed to the Formal process,
based on the principles outlined in this procedure.
4.2.2
Timelines for managing informal grievances
The informal resolution process should not extend beyond 20 working days in duration from the time a
grievance is first raised. If the informal resolution process has not resolved the grievance within 20
working days the formal resolution process should be invoked or a request be made for the complaint
to be withdrawn.
Time frames should only be extended if the employees involved demonstrate a justifiable reason for
the delay. If requested, the Director, Human Resources, will determine whether the time frames are
reasonable.
4.2.3
Monitoring outcomes of informal resolution process
The parties involved may agree to establish a mechanism to monitor the outcome of an informal
resolution process.
It is the responsibility of the complainant and respondent’s Manager/s to implement and monitor the
outcomes of the informal resolution.
4.3
Formal Resolution Process
The complainant is encouraged to contact a Human Resources Consultant for advice on proceeding
with a formal resolution to their grievance.
The complainant can seek to have a grievance resolved through a formal process by notifying the
Director, Human Resources in writing.
Both conciliation and investigation procedures are available for the resolution of formal grievances.
The Director, Human Resources, can determine if the grievance will proceed straight to the
investigation stage, without going through conciliation, based on the principles outlined in this policy.
4.3.1
Step 1 - Conciliation
The complainant lodges their grievance, in writing, with the Director Human Resources.
The Director Human Resources, or nominee, will forward the grievance to the respondent. The
respondent will be advised that the grievance is confidential and that all parties are protected from
victimisation.
Within 5 working days of contacting the respondent the Director, Human Resources, or nominee, will
consult with the complainant and the respondent to identify whether they agree to conciliate the
grievance. Where conciliation is agreed the Director, Human Resources, or nominee, will identify a
conciliator acceptable to both parties.
The Director Human Resources, or nominee, will assist the conciliator by explaining the application of
this procedure and planning the steps to be taken in attempting to resolve the grievance.
The complainant and respondent will be required to agree that any statements made in the course of
the conciliation process shall be confidential and without prejudice.
Within 5 working days the conciliator will discuss possible resolutions with both the complainant and
the respondent and seek to achieve a resolution satisfactory to both parties.
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Where a resolution is agreed the complainant and respondent will sign a statement to indicate
complete and final settlement of the grievance.
An agreed resolution may involve:
(a) a compulsory counselling session to be attended by the respondent; and/or
(b) an acknowledgment by the respondent that their behaviour caused offence even if it was
unintentional and an undertaking to modify their behaviour; and/or
(c) person/s attend equal employment opportunity and bullying awareness training (if
appropriate) and/or,
(d) any other outcome agreed to by the parties to the complaint
The respondent should be advised that victimisation or some other form of reprisal by them that
affects the complainant is unacceptable and is a potential cause for separate disciplinary action.
4.3.1.1
Monitoring outcomes of the conciliation process:
Where agreement to resolve the grievance is reached a monitoring process should be put in place to
ensure compliance with the terms of the agreement.
An appropriate person should be agreed to by the parties to monitor progress of the agreement.
Where a resolution to the grievance cannot be conciliated between the complainant and the
respondent, either party may apply to the Director, Human Resources, to have the matter proceed to
the investigation stage.
4.3.2
Step 2 – Investigation
Investigation will be used in cases where a formal grievance is lodged and a satisfactory resolution
cannot be reached through the conciliation process, or in cases where the complainant and/or
respondent decide against participation in the conciliation process.
Where the grievance is of a serious nature the University may elect to move straight to the
investigation stage.
An investigation is conducted to determine findings of fact. These facts are used to recommend
actions to be taken by the University to resolve a grievance. The legal test for the findings in an
investigation carried out under this policy is on the "balance of probabilities".
Investigators will be assigned to a particular grievance by the Director Human Resources, or
nominee. Investigators should have no prior knowledge of the case and must be impartial. Every
effort will be made to expedite the process.
4.3.2.1
Timelines for Formal Grievances undergoing Investigation
The following timetable is indicative only and is subject to the availability of the parties to the
investigation and other relevant circumstances.
Within 5 working days of notification of the need for a formal investigation an investigator should be
appointed to carry out the investigation.
Within 5 working days of appointment the investigator should interview the complainant.
Within 5 working days of the interview the investigator should prepare a written account of the
grievance and present this to the respondent.
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The respondent will be given at least twenty four hours to read the grievance prior to being
interviewed by the investigator, in order to provide a response.
During the next 15 working days the investigator will interview the complainant and respondent and
other witnesses as necessary.
Following the interviews the investigator is to produce a report and recommendations for the Vice
Chancellor or his/her nominee within 5 working days.
On receipt of the report a decision will be made on any action that may be taken. The complainant
and respondent will be notified within 5 working days of the outcome of the investigator’s report.
4.3.2.2
Outcomes of Investigation
A decision will be made on the basis of the report to either dismiss the grievance if it is found to be
vexatious or without substance, or take appropriate disciplinary action against the respondent if the
grievance is upheld.
In cases where the grievance is not substantiated and is identified as being vexatious, misconceived
or without substance, further action may need to be taken by University management.
Where disciplinary action is appropriate the relevant University discipline procedures for staff will be
invoked.
It is the responsibility of the Director, Human Resources, in collaboration with the appropriate
Manager, to ensure that the recommendations of the Investigation are implemented.
4.4
Complaints to the Ombudsman
Grievances about administrative actions, the process undertaken to resolve a formal grievance, and
decisions of the University, can be made to the Victorian Ombudsman.
Assistance from the Ombudsman is generally the last resort.
If the steps laid down in this procedure have not been followed the Ombudsman may ask the parties
to do so before accepting the grievance.
Further information about the Office of the Ombudsman can be found at
http://www.ombudsman.vic.gov.au
4.5
Potential outcomes of grievance resolution
As far as possible it is the intention of the University that grievances can be best resolved by
discussion between the parties. This means that the parties can and should use University
procedures to achieve mutually acceptable outcomes. In these circumstances no further action would
result from the grievance.
Under certain circumstances, findings by an appropriate officer of the University pursuant to this
procedure may lead to disciplinary action against a party to a grievance. Disciplinary action will be
taken in accordance with the relevant policy, process or industrial instrument.
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4.6
Protection Against Victimisation
The University recognises that grievance handling procedures must be fair to all parties. A person
must not victimise another person because he or she has or intends to:
(a) make a grievance
(b) be a witness
(c) support an individual who intends to or has made a grievance
(d) act in good faith in bringing information or an allegation forward
4.7
Vexatious Grievances
Individuals found to have made vexatious grievances may incur disciplinary action in accordance with
the relevant University procedure.
Roles and responsibilities of managers
Managers of organisational units have a responsibility for:
(a) Ensuring the promotion of the policy across the organisational unit
(b) Implementing appropriate measures across the organisational unit where informal complaints
have been made
(c) Implementing appropriate disciplinary procedures where required.
Managers of organisational units are responsible for handling complaints they receive which are of an
informal nature. Formal complaints are handled by the Director Human Resources, or nominee, in
accordance with the procedures.
Employees may seek assistance from the Employee Assistance Program.
5
SENSITIVE ISSUES
The following sensitive issues require immediate or expert intervention. Contact your HR Consultant for
detailed processes for dealing with these issues.
a) Anti-Discrimination
b) Eliminating Bullying and Violence
c) Emergency Management
d) International Student Enrolment and Tuition Fee
e) Occupational Health and Safety
f) Privacy
g) Sexual Harassment
h) University Competition Code Compliance
i) Protected Disclosures
j) Anti-Corruption and Fraud Prevention
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Please notify a member of the HR Assist team if the online manual requires updating.
94